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Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
Gerald Eaton Was A Registered Broker since October 1992 According to his FINRA brokercheck page, Gerald Eaton was previously registered with John Hancock Distributors, INC., and John Hancock Mutual Life Insurance Company from October 1992 until March 1995. [read post]
29 Mar 2015, 5:52 am
Simmons case, which holds that creative deals to protect any of the net tort settlement funds from the comp lien – fancy apportionments between economic and noneconomic damages, sweetheart release deals with the tort defense lawyer to characterize the settlement funds a certain way, etc. [read post]
31 Oct 2020, 1:26 pm
Several of Agent Reed’s customers have complained that he sold them unsuitable investments in private placements, oil and gas investments, hedge funds, and mutual funds and over-concentrated their accounts in private placements. [read post]
1 Jul 2019, 1:03 pm
In comparison, mutual funds and other similar investments typically pay less than half as much in commissions. [read post]
20 Sep 2011, 7:41 am
(“JCG”), the parent company of Janus Investment Fund, alleging that Janus Investment Fund’s prospectuses contained misleading statements regarding the funds’ policies with respect to market timing practices. a) The complaint alleged that JCG and JCM “caused mutual fund prospectuses to be issued for Janus mutual funds and made them available to the investing public, which created the misleading impression… [read post]
15 Nov 2011, 8:20 pm
These cases involved 19 different firms, according to a report that appeared in the newspaper on Nov 7. [read post]
26 Sep 2008, 6:04 pm
Countrywide, Merrill Lynch, AIG, Fannie Mae, Freddie Mac, Lehman Brothers and now Washington Mutual. [read post]
9 Oct 2016, 4:21 pm
Section 29(5) replicates section 51(7) of the Senior Courts Act 1981 which confers jurisdiction in relation to wasted costs in the civil courts. [read post]
12 Jun 2023, 2:08 pm
The senior customers reportedly directed Smith to use the checks to fund their mutual fund investments. [read post]
23 Jan 2024, 9:01 pm
Allianz Allianz Global’s $145 million payout benefits shareholders of collapsed mutual funds that Allianz managed. [read post]
19 Jan 2015, 6:41 am
” Id. at *7 (citation omitted). [read post]
19 Jan 2015, 6:41 am
” Id. at *7 (citation omitted). [read post]
5 Apr 2018, 8:24 am
On March 7, 2018, the SEC released a public statement affirming its view that platforms that trade securities and operate as exchanges must register as a national securities exchange or operate under an exemption from registration. [read post]
9 Mar 2018, 6:06 am
Klein and Joseph Sulzbach, Morrison & Foerster LLP, on Wednesday, March 7, 2018 Tags: Boards of Directors, Capital allocation, Engagement, Institutional Investors, Long-Term value, Mutual funds, Pension funds, Shareholder activism, Stewardship, Tax Cuts and Jobs Act, Taxation Engaging with Vanguard Posted by Chris Wightman, CamberView Partners, on Thursday, March 8, 2018 Tags: Board… [read post]
10 Mar 2012, 8:21 pm
SEC Staffer Says Recommendations On Volatility, CAT Proposals Coming Soon, , Bloomberg BNA Daily, March 2, 2012 Dodd-Frank Wall Street Reform and Consumer Protection Act (PDF) More Blog Posts: Securities Fraud: Mutual Funds Investment Adviser Cannot Be Sued Over Misstatement in Prospectuses, Says US Supreme Court, Stockbroker Fraud Blog, June 16, 2011 Janus Avoids Responsibility to Mutual Fund Shareholders for Alleged Role in Widespread Market Timing Scandal,… [read post]
3 Oct 2011, 7:54 am
The funds the debtor paid to Washington Mutual came from a single pool of money that included proceeds from the sale of both the home and personal property, the 8th Circuit said. [read post]
3 Feb 2012, 11:43 am
Similarly, there were 91 waivers providing immunity from lawsuits and 204 waivers related to raising money for small companies and managing mutual funds. [read post]
24 Jun 2014, 5:57 am
In addition, the mutual funds selected would charge customers 2 percent to 3 percent a year in fees. [read post]
21 Dec 2017, 12:08 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael McTigue (McTigue), in August 2017, was terminated by his employer ProEquities after the firm alleged that during a recent branch inspection of the firm discovered issues relating to (1) use of unapproved email address; (2) use of unapproved performance report; (3) customer signature discrepancies on firm paperwork; (4) frequent trading of mutual fund A shares; (5) breakpoint… [read post]
27 Feb 2019, 10:25 am
In one recent case, [a]n American mutual fund manager said in an SEC filing [] that it sold all shares it held in Petrofac because of an ongoing corruption investigation by the UK’s Serious Fraud Office. [read post]
