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27 Aug 2009, 8:55 am
For further information, please contact us. [read post]
21 Aug 2018, 12:17 pm
The holding requirement is one of the core elements of 1031, and it requires that property used in an exchange must be “held for” productive use in trade or business or for investment. [read post]
17 Oct 2018, 6:16 pm
Speak With a Financial Fraud Lawyer at Zamansky, LLC If you are concerned that your broker or investment advisor may be making trades at your expense, we can help. [read post]
23 Sep 2016, 10:15 am
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has issued penalties against 13 investment advisory firms found to have violated securities laws by spreading false claims.The SEC found that the 13 firms negligently relied upon claims by F-Squared Investments that its AlphaSector strategy for investing in exchange-traded funds (ETFs) had outperformed the S&P Index for several years. [read post]
28 Jan 2016, 11:46 am
They will reimburse investors $2.877 million in losses.According to the SEC’s order instituting a settled administrative proceeding, QED Benchmark Management LLC and its founder/fund manager Peter Kuperman avoided disclosing heavy trading losses to investors by using a misleading mixture of hypothetical and actual returns when providing the fund’s performance history. [read post]
3 Feb 2020, 6:53 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
14 Jan 2022, 8:02 am
Leveraged Exchange-Traded Funds (ETFs) Leveraged exchange-traded funds (ETFs) sound good in theory: They allow investors to diversify by buying into a broad range of stocks, and they typically offer the opportunity to earn either double or triple the returns of a targeted index. [read post]
9 May 2013, 11:02 am
” Maria de los Angeles Gonzalez, the Venezuelan bank vice president, is accused of using her position at the bank to ensure that its bond trading business would continue with Direct Access Partners. [read post]
2 Apr 2016, 6:15 pm
The majority of the debt is held by a myriad of mutual funds, hedge funds, and other institutional investors.SandRidge Energy stock value has flat-lined at $0.05 per share and is trading on the Over the Counter Exchange (OTC Market) after it was removed from the NYSE in early January. [read post]
19 Oct 2018, 11:53 am
The order also halts ongoing pre-ICO sales by the company, Blockvest LLC and its founder. [read post]
26 Oct 2015, 8:05 am
Two Grant Thornton Firms With Violating Auditor Independence RulesGrant Thornton India LLP and Australia-based Grant Thornton Audit Pty Limited have been charged with auditor independence violations that occurred when two Grant Thornton Mauritius partners served on the boards of Mauritius-based subsidiaries of companies that were Grant Thornton audit clients and performed non-audit services prohibited under the SEC’s auditor independence rules.New Jersey Fund Manager Charged With Securities… [read post]
7 Jun 2016, 11:06 am
Before the transfer, the clients had been investing their money into various exchange traded funds. [read post]
2 Oct 2015, 12:25 pm
The case revolves around Keith Simmons and his firm, Black Diamond Capital Solutions, which Simmons presented as a foreign currency trading program that later was unraveled as a scheme. [read post]
19 Oct 2018, 11:53 am
The order also halts ongoing pre-ICO sales by the company, Blockvest LLC and its founder. [read post]
17 Jul 2020, 10:43 am
Securities and Exchange Commission’s (SEC) new Regulation “Best Interest” (Reg BI), which went into effect on June 30, 2020. [read post]
13 Jun 2016, 6:46 am
An SEC investigation found that Blackstreet Capital Management, LLC (“Blackstreet”) and its principal performed in-house brokerage services rather than using investment banks or broker-dealers to handle the acquisition and disposition of portfolio companies for a pair of advised private equity funds. [read post]
4 Dec 2018, 2:35 pm
Just before the Thanksgiving holiday, the Federal Trade Commission (“FTC”) announced the issuance of consent orders involving Creaxion Corporation and Inside Publications, LLC to settle allegations that the companies misrepresented paid endorsements as independent opinions, and misrepresented paid commercial advertising as independent editorial content. [read post]
5 Oct 2022, 6:15 am
In August, the CFTC announced it was reviewing a voluntary submission by KalshiEX, LLC, a registered exchange, regarding a proposal to list political event contracts for trading. [read post]
19 Jan 2016, 9:53 am
But Equinox actually used the notional trading value of the assets, which is the total amount invested including leverage. [read post]
26 Jul 2011, 1:37 pm
Such a strategy is possible because the palladium and platinum markets are thinly traded, illiquid, and use volume-weighted average for settlement price calculations.The order imposes considerable restrictions on any trading Pia plans to carry out in the commodity futures market. [read post]
