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9 Mar 2018, 2:35 pm
Section 1231(a) states that “any recognized gain on the sale or exchange of property used in the trade or business” is “treated as long-term capital gains. [read post]
28 Jun 2011, 11:47 am
-based Highview Point Partners LLC as a relief defendant for allegedly holding funds tainted by the Ponzi scheme. [read post]
9 Feb 2012, 3:23 pm
They allegedly used hidden entities abroad to hide their trading and ownership of the securities. [read post]
24 Nov 2013, 6:03 am
Editor's Note: The following post comes to us from Peter C. [read post]
4 Apr 2016, 6:25 am
Last month the Securities and Exchange Commission (“SEC”) commenced an administrative proceeding against an Augusta Georgia investment adviser to a hedge fund called Geier International Strategies Fund, LLC (“GISF”). [read post]
12 Jan 2011, 8:00 am
(“JCG”) paid $100 million to settle with the Securities and Exchange Commission. [read post]
4 Aug 2022, 3:24 am
Cataldo) [Section 2(d) refusal of INFLATION DEFENDER for "Financial services, namely, hedge fund investment services and trading funds for others" [inflation disclaimed] in view of the registered mark INFLATION DEFENSE for "“Platform as a service (PAAS) featuring computer software platforms for financial services, namely, providing an online platform for accessing, reviewing, selecting and allocating funds to investments, exchange-traded funds, equity… [read post]
23 Sep 2021, 8:41 am
If Commission action is warranted with Coinbase, it is probably warranted with other lending arrangements, the group said.The group believes that many digital asset exchanges are trading securities. [read post]
12 Jul 2019, 8:59 am
Behn and his Fieldstone Financial Management are now facing US Securities and Exchange Commission (SEC) charges accusing them of defrauding retail investors. [read post]
18 Jan 2012, 2:40 pm
The seven defendants who exchanged information regarding Dell are: • investment analyst Sandeep ""Sandy" Goyal, who obtained Dell quarterly earnings information and other performance data from an insider at Dell before earnings announcements in 2008; • analyst Jesse Tortora of Diamondback Capital Management LLC ("Diamondback"), who was tipped by Mr. [read post]
20 Apr 2015, 7:14 am
Morgan Securities LLC (JP Morgan), accusing him of stealing at least $20 million from customers to fund his own brokerage accounts and then spending the majority of the money in highly unprofitable options trading. [read post]
31 May 2024, 11:27 am
This pioneered the current SPAC structure using a PIPE investment and tender offer. [read post]
14 Sep 2022, 12:32 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Thomas Bradley Kintz (Kintz), currently employed by T3 Trading Group, LLC (T3 Trading) and formerly with Benjamin F. [read post]
13 Jun 2022, 3:55 am
Bitcoin ATMs look like traditional ATMs, but they allow the user to exchange fiat currency for cryptocurrency, or to trade one type of cryptocurrency for another. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
21 Apr 2015, 12:21 pm
” Freda said that if this were a legitimate trading strategy, you’d see evidence of Koch’s using it in other circumstances. [read post]
5 Nov 2009, 2:22 pm
For further information, please contact us. [read post]
10 May 2023, 12:55 pm
While there are numerous SEC regulations, perhaps the most well-known is SEC Rule 10b-5, which the Commission uses to investigate and prosecute cases of insider trading. [read post]
17 Oct 2009, 4:49 am
Tell us about your situation by leaving a message in the Comment Box below or via the Contact Us form. [read post]
