Search for: "Security Financial Fund LLC"
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7 Dec 2009, 12:34 pm
Hofhines is affiliated with Securities America, an independent broker/dealer subsidiary of Ameriprise Financial. [read post]
7 Dec 2009, 11:01 am
Directly related to this is the issue of 12b-1 fees which are automatically deducted from mutual funds to compensate securities professionals for sales and services provided to mutual fund investors. [read post]
7 Dec 2009, 3:00 am
Mahler: In your book you suggest that the "architecture of corporate law" may have contributed to the recent financial meltdown. [read post]
6 Dec 2009, 7:14 am
Verret is an Assistant Professor at George Mason University School of Law and a Senior Scholar at the Mercatus Center's Financial Markets Working Group. [read post]
4 Dec 2009, 12:29 pm
District Court for the Northern District of Texas against Cedar Brook Financial Partners, LLC; Next Financial Group, Inc.; QA3 Financial Corp. and Securities America, Inc. for their role in recommending these investments to their brokerage clients. [read post]
4 Dec 2009, 6:15 am
The New York state pension made $250 million in investments with Broidy's firm, Markstone Capital Group LLC. [read post]
29 Nov 2009, 11:30 am
Overall, shareholders focused on many of the same issues as did Congress and the Securities and Exchange Commission (SEC) over the last year. [read post]
23 Nov 2009, 1:20 pm
FINRA fined Terra Nova Financial, LLC, of Chicago, $400,000 for making more than $1 million in improper soft dollar payments to or on behalf of five hedge fund managers, without following its own policies to ensure the payments were proper.... [read post]
23 Nov 2009, 4:30 am
Shelnutt was represented in the trial by attorneys Thomas Withers and Craig Gillen and the firm of Gillen Withers & Lake LLC. [read post]
11 Nov 2009, 7:19 am
According to court documents, Ezra Levy, the fund's former chief trader and chief financial officer, has been charged with securities fraud and 10 counts of wire fraud. [read post]
9 Nov 2009, 12:00 am
Former Miami DEA Chief Indicted in Stanford Probe
Daily Business Review
Thomas Raffanello, a former global security director with Stanford Financial Group and once South Florida's top anti-drug agent, was indicted Thursday in the collapse of the financial company described by the SEC as an $8 billion fraud. [read post]
7 Nov 2009, 7:50 am
When the funds began to experience obvious financial problems, the SEC alleges that Slowey continued to make false statements to investors. [read post]
5 Nov 2009, 6:18 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [read post]
3 Nov 2009, 1:59 am
Normal 0 false false false EN-US X-NONE X-NONE MicrosoftInternetExplorer4 The following are various hedge fund events happening this month. **** November 2 Sponsor: University of Oregon Lundquist College of Business Securities Analysis Center Event: Portland Alternative Investment Association - Educational… [read post]
2 Nov 2009, 1:25 pm
Wentworth, LLC and J.G. [read post]
2 Nov 2009, 6:45 am
Building Union Investment And Local Development Fund Of America Trust v. [read post]
30 Oct 2009, 8:29 am
Douglas Richard Smith formerly with Financial Advisors of America, LLC in Thousand Oaks, California, was named in a complaint filed by FINRA alleging unauthorized variable annuity transactions and placing the customer's signature and/or initials on documents without the customer's knowledge. [read post]
23 Oct 2009, 12:17 pm
By comparison, in a mutual fund transaction, a rep can earn between 1% and 4% of the sale. [read post]
22 Oct 2009, 1:42 am
Madoff Investment Securities LLC. [read post]
