Search for: "Private Money Exchange, LLC"
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5 Feb 2017, 7:01 am
FINRA also uncovered evidence that Bennett may have misappropriated investors’ money, committed fraud, and engaged in undisclosed outside business activities and private securities transactions. [read post]
29 Jan 2017, 12:40 pm
TIAA-CREF Individual & Institutional Services, LLC (CRD #20472 , New York, New York) submitted an AWC in which the firm was censured and fined $275,000. [read post]
27 Jan 2017, 6:08 am
Dyson, K&L Gates LLP, on Saturday, January 21, 2017 Tags: Algorithmic trading, Broker-dealers, BSA/AML, Disclosure, Due diligence, Financial institutions, FINRA, High-frequency trading, Investor protection, Money laundering, Private enforcement, Reporting regulation, Risk management, Securities enforcement Top 10 Topics for Directors in 2017 Posted by Kerry E. [read post]
18 Jan 2017, 9:42 am
In exchange for the opportunity to invest in Apex and share in its profits, Dr. [read post]
18 Jan 2017, 9:42 am
In exchange for the opportunity to invest in Apex and share in its profits, Dr. [read post]
18 Jan 2017, 5:10 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
3 Jan 2017, 4:28 pm
These changes have allowed the firms “to deploy money faster and creased more consistent returns” for investors. [read post]
31 Dec 2016, 12:36 pm
Think of it like a virtual cocktail party: you can network and exchange stories at your convenience – only you don’t have to dress up if you don’t want to. [read post]
28 Nov 2016, 5:53 am
And it’s not just a money thing. [read post]
21 Nov 2016, 11:33 am
Nor are the shares usually listed on a securities exchange like exchange-traded funds (ETFs). [read post]
19 Oct 2016, 7:12 am
UDF branded REITs and private deals were high yield offerings, promising investors returns of 8% to 10%. [read post]
4 Sep 2016, 6:56 am
” The charges include securities fraud, conspiracy to commit securities fraud, wire fraud, money laundering and making a false statement to law enforcement officials in connection with the fraudulent market manipulation of the stock. [read post]
1 Sep 2016, 7:56 am
The client had been engaged in a fraudulent Ponzi scheme that he kept afloat in part by moving money between the firm account and the bank account. [read post]
25 Aug 2016, 7:51 am
The company is a Texas LLC, and is offering revenue sharing notes. [read post]
29 Jul 2016, 6:03 am
Kess and Yafit Cohn, Simpson Thacher & Bartlett LLP, on Wednesday, July 27, 2016 Tags: Boards of Directors, Compensation disclosure, Director compensation, Disclosure, Exchange Act, Filings, Foreign issuers, Golden leashes, Listing standards, NASDAQ, Rule 19b-4, SEC, Securities regulation, Shareholder activism The Operational Consequences of Private Equity Buyouts Posted by Shai Bernstein, Stanford University, on Thursday, July 28, 2016 Tags: Acquisitions, Buyouts, Firm… [read post]
22 Jul 2016, 11:01 am
Cayman Islands Publishes LLC Law. [read post]
18 Jul 2016, 11:47 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission recently charged Andrew W.W. [read post]
14 Jul 2016, 7:16 am
Bob Bennie, like millions of Americans, was working for a private business but under government regulation; and what got him into trouble is that the regulators didn’t like Bennie’s political speech: Until November 2010, Bennie worked for LPL Financial (LPL). [read post]
6 Jul 2016, 9:49 am
The findings also stated that the firm and Zipper failed to establish, maintain and enforce an adequate supervisory system to ensure that business-related text messages were subject to retention and supervision.PTX Securities, LLC (CRD #7735, Plano, Texas)The firm consented to the sanctions and to the entry of findings that it failed to conduct adequate due diligence on oil and gas private placement offerings of an issuer into, among other things, the potential impact of an adverse… [read post]
5 Jul 2016, 4:00 am
The federal appeals court agreed with this claim as the money paid for unused benefits was payment for work. [read post]
