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20 Aug 2014, 5:40 am
BDCs also employ an incentive structure referred to as a “two and twenty,” where the fund charges two percent of assets in management fees and 20% of capital gains for performance. [read post]
11 Jan 2022, 12:45 pm
If convicted, he faces a maximum penalty of 20 years in prison for each wire fraud charge and a maximum of 30 years for the bank fraud charge. [read post]
29 Dec 2020, 7:40 am
On 5/21/20, a customer filed a dispute alleging unsuitable investment recommendations and misrepresentations on the part of Jones. [read post]
3 Nov 2021, 12:34 pm
06/20/2019 – 05/11/2021, WORLD EQUITY GROUP, INC. [read post]
2 Mar 2014, 5:59 pm
Though the FSA is empowered to invest glbally, it has indicated a preference for local investment. [read post]
2 Oct 2019, 2:38 pm
Under the federal indictment, Booth, of Norwalk, Connecticut, is charged with one count of wire fraud, which carries a maximum sentence of 20 years in prison, one count of securities fraud, which carries a maximum sentence of 20 years in prison, and one count of investment adviser fraud, which carries a maximum sentence of five years in prison, according to the Department of Justice press announcement. [read post]
31 Oct 2011, 4:07 am
Large Trader Reporting Section 13(h) of the '34 Act was amended by Dodd-Frank to include "large trader" reporting requirements, and persons who exercise investment discretion over an account are required to file certain reports with the SEC if they trade (i) two million shares or $20 million during any day or (ii) 20 million shares or $200 million during any month. [read post]
4 May 2018, 7:20 am
According to FINRA’s proposal released in April 20, 2018, the regulator would no longer require that a broker control a client’s account in order to find that the broker has churned it. [read post]
29 Sep 2011, 9:12 pm
If convicted, George faces up to 20 years in prison and a $250,000 fine. [read post]
26 Jul 2013, 1:19 pm
Brokers that overlook suggestibility requirements or misrepresent an investment can be liable for investment losses. [read post]
3 Feb 2015, 1:16 pm
Investors relied on these ratings to invest in the structured finance securities, the collapse of which led to the financial crisis. [read post]
9 Jan 2020, 6:56 am
After he failed to respond, FINRA sent a second request on 8/20/2019. [read post]
7 Jul 2020, 6:19 am
Be careful of any investment and make sure that any investment is properly registered and being sold by a license stockbroker or other financial advisor. [read post]
27 Apr 2022, 8:37 am
Merrill Lynch terminated Nicholas’ is employment on 7/29/20 after his voluntary resignation. [read post]
22 Mar 2008, 10:25 am
In other words, despite the recent fear, it is as good a time for injury victims to go into a structure as it has been at any time in the last 20 years. [read post]
18 Aug 2018, 3:58 pm
The regulator contends that the company, its President/CEO Jerome Cohen, and Vice President Shaun Cohen, who are father and son, promised investors double digit returns of 12-20%, even as their business was incurring massive losses. [read post]
23 Aug 2018, 5:13 am
Consequently, FINRA imposed a $5,000 fine and 20 day suspension. [read post]
1 Nov 2013, 3:00 am
Hedge Fund Roundtable Event: Career Insights from Prominent Veterans in the Hedge Fund Industry Location: New York, NY November 11-12 Sponsor: SIFMA Event: Annual Meeting 2013 Location: New York, NY November 12 Sponsor: Ernst & Young Event: Global Hedge Fund Symposium Location: New York, NY November 12 Sponsor: 100 Women in Hedge Funds Event: A Conversation with John Moehling, CIO of The David & Lucile Packard Foundation Location: Palo Alto, CA November 13 Sponsor: 100 Women in Hedge… [read post]
20 Mar 2018, 1:06 pm
U.S. banks reduced their annual lending abroad from about $120 billion in 1982 to about $20 billion in 1984. [read post]
8 Apr 2009, 3:00 pm
WOMEN'S WORLD BANKING 2009 GLOBAL MEETING DINNER Celebrating 30 Years of Visionary Women Honoring Cherie Blair, global advocate for women's rights WHEN: Wednesday, April 29th WHERE: Tavern on the Green, New York City TIME: 6:30pm - 10:00pm FOR TICKETS AND INFORMATION: You can purchase tickets below or contact Stephanie Waxman at (212) 556-3161 or swaxman@swwb.org Individual Options Sponsor a WWB network member to attend the event ($500) (Sponsor a WWB… [read post]
