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9 Feb 2024, 6:30 am
Posted by John D. [read post]
31 Jan 2024, 9:01 pm
The ramifications of this decision could be significant, as the SEC often uses its in-house courts to seek monetary penalties, and studies reveal that the SEC wins cases it brings in its in-house courts at a much higher rate than those it tries in federal court.[6] We also should expect plaintiffs to attempt to maneuver in light of the Supreme Court’s decision in Slack Technologies LLC v. [read post]
26 Jan 2024, 1:40 pm
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
8 Jan 2024, 7:00 am
LS3, LLC v. [read post]
2 Jan 2024, 11:26 am
This strategy becomes a convenient tool in equity allocation management. [read post]
27 Dec 2023, 2:02 pm
He allegedly misled investors about the profits they’d make through two entities, Phoenix and Edger Management. [read post]
11 Dec 2023, 9:05 pm
Striving to better, oft we mar what’s well — William Shakespeare, King Lear (1606) The Delaware Court of Chancery has, for more than a century, honed unparalleled expertise in a unique body of corporate law based on equity – and is thus adaptable enough to address injustice. [read post]
1 Dec 2023, 10:00 am
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
9 Nov 2023, 9:01 pm
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
8 Nov 2023, 5:46 am
“Investors often suffer losses due to unsuitable investment recommendations by their brokers and don’t realize they have recovery options,” said D. [read post]
6 Nov 2023, 1:55 pm
The claim further alleges that Ages Financial Services LTD unsuitably invested its clients in high-risk alternative investments, iCap Equity, LLC and GWG L bonds. [read post]
6 Nov 2023, 4:16 am
You’ve done nothing wrong, and you’d like to continue as a shareholder rather than have your investment liquidated. [read post]
24 Oct 2023, 9:01 pm
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
20 Oct 2023, 2:40 pm
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
20 Oct 2023, 8:33 am
Gavin Newsom (D) signed legislation ( AB 39 ) requiring “digital financial assets businesses” to be licensed by the state. [read post]
17 Oct 2023, 2:39 am
In this case, the sales commissions were estimated at 9%, according to the Form D. [read post]
13 Oct 2023, 2:21 am
Jack Sharman | Lightfoot, Franklin & White LLC How do you describe your practice? [read post]
