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25 Jan 2011, 6:10 pm
Combining the pending litigation, which involves sales by broker/dealers of Provident Royalties LLC private placements, could save them millions of dollars in damages and legal fees, according to the Investment News story. [read post]
26 Dec 2015, 1:45 pm
The focus thus shifts to performance driven compensation, and more of the money goes directly into the real estate to generate higher returns.According to FINRA’s Joseph Price, the need to invest in products that are not tied to the volatile stock market is still present. [read post]
3 Aug 2016, 8:27 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
3 Jul 2012, 4:29 pm
They say that Thomas “took advantage of their trust in her when she suggested that they invest in Tejas Eagle Financial LLC. [read post]
8 Sep 2015, 8:07 am
In another blog post, Malecki Law cited fines against Citigroup Global Markets, Inc., Morgan Stanley & Co, LLC, UBS Financial Services, and Wells Fargo Advisors, LLC for permitting recommendations of inverse and leveraged ETFs without proper supervision. [read post]
7 Oct 2021, 2:05 pm
Adam Belardino (Adam Gerard Belardino, CRD: #5221927) is a former registered broker and investment advisor whose last known employer was MML Investors Services, LLC (CRD#:10409) of Elmsford, New York. [read post]
1 Feb 2013, 5:30 am
After a few arranged meetings to discuss the possible substantial investment, Rosen broke off ties with Capriola. [read post]
11 Nov 2011, 9:47 am
The letter states that “…CLFA’s income is dependent on the fees received for its service of advising leveraged real estate funds. [read post]
22 Feb 2016, 3:27 am
This case illustrates the impact on member rights when voting percentages are tied to proportionate capital contributions. [read post]
22 Feb 2016, 3:27 am
This case illustrates the impact on member rights when voting percentages are tied to proportionate capital contributions. [read post]
27 Feb 2012, 1:16 pm
The source and nature of the underlying revenue streams of the issuer that are required to service the instruments are often less than clear. [read post]
27 Jan 2014, 7:41 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds and issuers of securities, among others. [read post]
30 Jun 2010, 6:06 am
In July 2009, the Securities and Exchange Commission (SEC) filed a fraud lawsuit against Provident Royalties and several high-ranking executives for running an alleged $485 million Ponzi scheme tied to fake oil-and-gas investments. [read post]
27 Feb 2012, 1:16 pm
The source and nature of the underlying revenue streams of the issuer that are required to service the instruments are often less than clear. [read post]
7 Aug 2015, 7:17 pm
This is commonly done via a transfer of all interests to an LLC and then a gift of member interests in that LLC. [read post]
30 Apr 2020, 8:59 am
According to the firm’s website, investment advisory services are provided by YieldStreet Management, LLC, an investment advisor registered with the Securities & Exchange Commission. [read post]
24 May 2024, 12:30 pm
Distributed by Tribune Content Agency, LLC. [read post]
28 Jun 2012, 9:42 am
A full service broker brings to mind the traditional view of the broker as the individual who recommends the stocks to buy and sell and actively manages your s [read post]
4 Dec 2015, 5:27 am
Not only have oil and gas companies gone bankrupt but companies that provide services to oil and gas companies have also been effected including A&B Valve and Piping Systems LLC, CCNG Energy Partners LP, and Boomerang Tube LLC. [read post]
4 Feb 2011, 12:11 pm
During his remarks at the annual meeting of broker/dealer members of the Financial Services Institute on Feb. 2, Shorris specifically named private placements associated with Medical Capital Holdings and Provident Royalties LLC. [read post]
