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29 Jun 2016, 3:16 am
Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
10 Jun 2016, 8:50 am
The Securities and Exchange Commission today announced fraud charges and an asset freeze obtained against a Connecticut man accused of misleading people into investing in his company and then taking their money for his personal use. [read post]
31 May 2016, 1:19 pm
The Securities and Exchange Commission today charged a Nashville, Tenn. [read post]
24 May 2016, 9:31 am
The firm participated in private offerings but in doing so, did not adhere to its WSPs. [read post]
2 May 2016, 4:28 am
So what if the DoJ crafts a private agreement with a corporation that avoids prosecution? [read post]
15 Apr 2016, 9:21 am
The Securities and Exchange Commission today charged a Los Angeles-based litigation marketing company and its co-founders with defrauding retirees and other investors who were told their money would be used to help gather plaintiffs for class-action and other lawsuits and they would earn hefty investment returns from settlement proceeds.The SEC alleges that James Catipay and David Aldrich raised $11.7 million from approximately 250 investors during the past three years for their… [read post]
31 Mar 2016, 12:09 pm
Reuters found that slightly more than half of 43 private placements Atlas issued over the past three decades investors lost money or just broke even. [read post]
28 Mar 2016, 7:35 am
The Securities and Exchange Commission today charged a New York-based securities professional with defrauding two institutions he solicited to invest in a shell company he controlled whose name was deceptively similar to that of a legitimate private equity fund. [read post]
23 Mar 2016, 9:16 am
Reuters found that slightly more than half of 43 private placements Atlas issued over the past three decades investors lost money or just broke even. [read post]
21 Mar 2016, 8:54 am
Reuters found that slightly more than half of 43 private placements Atlas issued over the past three decades investors lost money or just broke even. [read post]
20 Mar 2016, 5:55 am
The Securities and Exchange Commission (SEC) recently filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
14 Mar 2016, 2:56 am
When Gibson needed more money, Herdering contacted Robert Carlson, an Assistant Vice President at Avon State Bank, who issued a loan to Herdering and invested $60,000 of his own money. [read post]
11 Mar 2016, 8:35 am
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
11 Mar 2016, 6:00 am
This money was used by Mr. [read post]
10 Mar 2016, 5:25 pm
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
7 Mar 2016, 7:26 am
Wells Fargo also is charged with violations of Section 15B(c)(1) of the Securities Exchange Act of 1934 and Rules G-17 and G-32 of the Municipal Securities Rulemaking Board (MSRB). [read post]
24 Feb 2016, 11:27 am
In 2013, Western Property Holdings LLC sued Aequitas Capital Management Inc. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
22 Feb 2016, 5:57 pm
According to SEC filings, Aequitas Capital Opportunities Fund is a private equity fund organized in 2013. [read post]
18 Feb 2016, 5:53 am
Our firm represents securities investors in claims against brokerage firms over sales practices related to the recommendations of oil & gas and commodities products such as exchange traded notes (ETNs), structured notes, private placements, master limited partnerships (MLPs), leveraged ETFs, mutual funds, and individual stocks. [read post]