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27 Jul 2011, 4:00 pm
Investors who have suffered losses in any of the LaeRoc Funds, including the LaeRoc 2002 Income Fund, may be able to recover their losses through securities arbitration. [read post]
12 Jan 2018, 5:01 am
Helena Robertson claims that “Social Security is not funded through federal taxes,” and the newspaper used that claim as the headline for the letter. [read post]
2 Mar 2020, 11:55 am
The Securities and Exchange Commission requests public comment on its current requirements that restrict the use of potentially misleading fund names. [read post]
14 Jan 2016, 11:58 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
27 Nov 2017, 11:20 am
The post UBS Puerto Rico AAA Portfolio Bond Fund Securities Investigation appeared first on White Securities Law. [read post]
20 Feb 2020, 8:44 am
The post Spirit of America Energy Fund (SOAEX) Securities Fraud Investigation appeared first on The White Law Group. [read post]
19 May 2020, 5:55 pm
Peterson Nebraska holds that Social Security funds that are comingled in a bank account are exempt from garnishment, if the account owner can prove that the funds deposited in the account were exempt funds. [read post]
30 Mar 2012, 1:05 pm
Note, however, that advisers relying on this state licensing exemption are not required to file the SEC Rule 204-4 reports with the Colorado Securities Commissioner. [read post]
25 Jun 2019, 2:12 pm
The post GPB Capital Funds Plunge In Value appeared first on Securities Fraud Attorney. [read post]
28 Jan 2022, 3:53 pm
Securities and Exchange Commission (“SEC” and “Commission”) proposed new rules to increase hedge fund and private equity fund disclosures to increase oversight of the industry and to monitor systemic risks. [read post]
20 Apr 2010, 7:14 am
., to receive federal funding under a Department of Homeland Security program. [read post]
14 Jul 2015, 6:00 am
In July 2014, the Securities and Exchange Commission (SEC) adopted a package of reforms to the regulatory framework governing money market mutual funds. [read post]
29 Apr 2020, 1:07 pm
The post Silver Law Group Investigating AllianceBernstein Energy Opportunity Funds appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Mar 2023, 5:52 pm
The post “Supreme Court Threats Prompt Request for More Security Funds” appeared first on How Appealing. [read post]
2 Jun 2022, 7:35 am
Madison Avenue Securities Allegedly Failed to Disclose Conflicts with Compensation According to an SEC order on May 31, the Securities and Exchange Commission ordered Madison Avenue Securities (CRD#: 23224/SEC#: 801-69919,8-40426) to pay more than $800,000 to settle charges that it breached its fiduciary duty with its mutual fund share-class selection practices as well as conflicts with mutual fund compensation, including… [read post]
10 Jun 2020, 1:04 pm
Prior to the outbreak of the COVID-19 pandemic Social Security actuaries estimated that the trust funds would be depleted by 2035. [read post]
2 Jun 2009, 5:07 pm
According to this article by Anindita Dey of the Business Standard yesterday, an Indian securities regulator has announced plans to fund a program to reimburse litigation expenses actions brought on behalf of investors for alleged illegal securities practices. [read post]
11 May 2011, 10:50 am
The jury in the US District Court for the Southern District of New York [official website] found that Rajaratnam orchestrated the largest hedge fund insider trading case in US history, finding him guilty of five counts of conspiracy to commit securities fraud and nine counts of securities fraud. [read post]
22 Nov 2021, 6:09 am
On Sept. 29, 2021, the Securities and Exchange Commission proposed Rule 14Ad‑1 and amendments to Form N-PX (collectively, “Proposal”) under the Investment Company Act of 1940, as amended (“1940 Act”), that, if adopted, would require more comprehensive information from mutual funds, exchange-traded funds and certain other investment companies registered under the 1940 Act that currently file reports on Form N-PX annually regarding their proxy… [read post]
19 Feb 2021, 2:02 pm
appeared first on Securities Arbitration Lawyers Blog. [read post]
