Search for: "Private Money Exchange, LLC"
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16 Oct 2019, 6:17 am
The company allegedly used investors’ money to pay other investors, in typical Ponzi scheme fashion, and Shapiro purportedly kept close to $21 million for himself to fund his lavish lifestyle with private charter planes, country club dues, political contributions, luxury vehicles and jewelry. [read post]
29 Jan 2024, 12:00 pm
Morgan Stanley operates under the following names: CITIGROUP INSTITUTIONAL CONSULTING, SMITH BARNEY, PRIVATE PORTFOLIO GROUP, MORGAN STANLEY WEALTH MANAGEMENT, MORGAN STANLEY SMITH BARNEY LLC, GRAYSTONE CONSULTING, CONSULTING GROUP, among others according to its CRD. [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
24 Jul 2023, 11:28 am
Reg D Private Placements: Regulation D private placements are securities offerings that are exempt from registration with the Securities and Exchange Commission. [read post]
16 Feb 2021, 5:29 am
Securities and Exchange Commission (SEC), the U.S. [read post]
25 Nov 2018, 10:50 am
In the minds of many such activists, sex work is a form of patriarchal oppression and violence against women as opposed to a private matter between consenting adults. [read post]
9 Mar 2022, 1:45 pm
Comprehensive Health Services LLC The DOJ announced on March 8 that Florida-based Comprehensive Health Services LLC (CHS) will pay $930,000 to resolve allegations of violating the False Claims Act. [read post]
21 Nov 2016, 11:33 am
Nor are the shares usually listed on a securities exchange like exchange-traded funds (ETFs). [read post]
12 Sep 2011, 7:28 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
21 Oct 2021, 8:18 am
According to a secondary market for private placements, CTT Auctions, shares of United Development Funding III (UDF III) were recently sold for just $1.25 per share. [read post]
11 Oct 2018, 5:03 pm
Former Wells Fargo Broker Faces Elder Investor Fraud Charges The US Securities and Exchange Commission has filed broker fraud-related charges against former John Greg Schmidt, a former broker for Stifel, Nicholaus and Company (SF) and Wells Fargo Financial Network LLC (WFC). [read post]
3 Aug 2020, 1:07 pm
Equity Sales Company (CRD# 2936), Park Avenue Securities LLC (CRD# 46173), NY Life Securities LLC (CRD# 5167), and Mutual of Omaha Investor Services, Inc. [read post]
2 Jun 2022, 10:08 am
The qui tam provisions of the False Claims Act enable private citizens to file lawsuits on behalf of the government if they know of an individual or company defrauding the government. [read post]
2 Feb 2023, 10:55 am
If the broker says, you know, I want to invest this in a risky technology stock or we’ll talk private investments for private equity investments, and there are substantial losses. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
26 Oct 2010, 8:22 am
AdvisorShares works with experienced money managers to combine their money management strategies with the benefits the ETF structure provides. [read post]
3 Jun 2009, 3:01 pm
Page Perry, LLC and its attorneys has experience representing investors in Regulation D and other securities-related matters. [read post]
20 Jan 2016, 3:47 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
10 Oct 2011, 1:10 pm
LLC in 1997 in a rented office in Lake Orion, Mich. [read post]
