Search for: "Security Financial Fund LLC"
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24 Mar 2009, 11:22 am
They contacted an experienced securities law firm which advised them to jointly file a claim in Securities Arbitration through The Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD) The investors claimed that Jeffrey Forrest of WeathWise LLC failed to properly advise them when selling the shares of the APEC fund. [read post]
24 Mar 2009, 10:46 am
SEC Commissioner Walter Details Hedge Fund Enforcement and Extraordinary Efforts Being Made in Madoff CaseAs the financial crisis deepens, SEC enforcement activities have focused intensely on a number of institutional players in the financial market, including hedge funds. [read post]
23 Mar 2009, 9:00 am
In my own practice, these types of unfair insider deals with alter-ego entities comprise the bulk of financial fraud amongst members of a partnership, limited liability company (LLC), or corporation. [read post]
19 Mar 2009, 12:48 pm
The FINRA tribunal ordered Credit Suisse Securities USA LLC, a brokerage unit of the Swiss bank, to pay $400 million to its customer STMicroelectronics NV, a European semiconductor maker. [read post]
19 Mar 2009, 1:57 am
Dreier Seeks Dismissal of Securities Fraud Charge
New York Law Journal
A securities fraud charge against disgraced attorney Marc S. [read post]
12 Mar 2009, 12:10 pm
Madoff Securities LLC. [read post]
12 Mar 2009, 9:32 am
Madoff Securities LLC, which was located here in Manhattan, New York at 885 Third Avenue. [read post]
12 Mar 2009, 2:15 am
As I noted in prior posts, Constellation Energy (about which refer here), Reserve Fund (here), JA Solar (here), and Farmer Mac (here) have all found themselves hit with securities lawsuits in part due to the impact on them from the Lehman Brothers bankruptcy. [read post]
7 Mar 2009, 9:18 am
The types of non qualified obligations that may be assigned to these three companies varies.Pruco Assignments Corporation announced on March 6, 2009 that its bank, Royal Bank of Canada has instituted stronger check clearing security measures due to the financial crisis. [read post]
2 Mar 2009, 10:00 pm
” See also: SEC Press Release 2009-38 Litigation Release No. 20920 SEC Complaint against Sunwest Management, Inc., Canyon Creek Development, Inc., Canyon Creek Financial, LLC, and Jon M. [read post]
2 Mar 2009, 4:15 am
., Cancellation No. 92043193 [Section 2(d) petition for cancellation of a registration for the mark BODY CLEAR for acne preparations, based on allege prior rights in the same mark for skin care products, also involving standing and laches issues].March 10, 2009 - 11 AM: In re Clarus Ventures LLC, Serial No. 78971994 [Section 2(d) refusal of the mark CLARUS & Design for "investment advisory and investment management services for private investment funds and private… [read post]
2 Mar 2009, 1:47 am
According to a February 27, 2009 article in the Financial Post (here), on February 25, 2009, Calgary-based furniture manufacturer has initiated a class action lawsuit in the Alberta Court of Queen’s Bench against Allen Stanford, Stanford International Bank, Stanford Group Company, Stanford Capital Management LLC, James M. [read post]
25 Feb 2009, 7:59 am
., Managing Partner, Dowling & Partners Securities, LLC Stephen R. [read post]
25 Feb 2009, 5:01 am
Hennessee Group LLC. [read post]
24 Feb 2009, 7:19 pm
Allen Stanford, who is facing Securities and Exchange Commission accusations of engaging in an $8 billion fraud.The $50 million fund was jointly branded between the Bidens' Paradigm Global Advisors LLC and a Stanford Financial Group entity and was known as the Paradigm Stanford Capital Management Core Alternative Fund. [read post]
20 Feb 2009, 7:40 am
Finally, many closed-end mutual funds that issued auction rate-securities have suffered serious setbacks in the markets adversely impacting their financial wherewithal. [read post]
17 Feb 2009, 11:15 am
The Stanford Defendants further misrepresented to would-be CD investors that their deposits were safe, that their funds were re-invested primarily in "liquid" financial instruments, that the portfolio was monitored by a team of 20-plus analysts, and that it was audited annually by Antiguan regulators, said the SEC. [read post]
17 Feb 2009, 1:56 am
At a minimum, it will no longer be sufficient for underwriters to presume that risk is limited to the financial sector alone. [read post]
16 Feb 2009, 2:01 am
There also appear to have been some who were all too willing to hide or even misrepresent their true financial condition to secure credit. [read post]
11 Feb 2009, 2:23 pm
Madoff Investment Securities LLC are "so intertwined that they could be viewed as a common enterprise. [read post]
