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19 Oct 2022, 6:49 am
The SEC’s complaint alleges that Swensen, who died on June 6, 2022, fraudulently induced victims into investing in Crew Capital Group, LLC. [read post]
29 Aug 2021, 12:58 pm
The memo also argues that SPACs are not investment companies merely because they invest the IPO proceeds in T-bills and money market funds while they seek a merger partner – their primary purpose is not to invest the funds but to use the funds to purchase an operating company. [read post]
21 Apr 2023, 5:44 am
eDiscovery Operational Metrics in the Spring of 2023 appeared first on ComplexDiscovery. [read post]
1 Nov 2021, 10:11 am
Allegedly Misrepresented Quad Cities Bonds… The post Montgomery 2015 Municipal Revenue Bonds Investment Losses appeared first on The White Law Group. [read post]
14 Jan 2022, 8:59 am
Continue reading › The post Malecki Law Announces the Filing of an Expedited Group FINRA Arbitration Against Henley & Company, LLC, Claiming Henley Failed to Supervise its Recently Deceased Broker, Philip Incorvia, Who Allegedly Operated a Ponzi Scheme Out of a Henley Branch Office appeared first on New York Securities Fraud Lawyers Blog. [read post]
25 Mar 2011, 4:30 am
We haven't heard the term "boiler room" in years, but the SEC dusted off the term this week when it announced that it had filed a complaint alleging that a group in Los Angeles were operating a boiler room that defrauded investors who they persuaded to buy purportedly profitable trading systems.The SEC alleges that representatives of Spyglass Equity Systems Inc. cold-called investors and made false and misleading statements to help raise more than $2.15 million from… [read post]
24 Apr 2009, 6:45 am
Hennessee, a "hedge fund consultant" and registered investment advisor subject to the Act, and its chief executive and investment officer, Gradante, operated in New York City. [read post]
28 Aug 2020, 7:00 am
Without a strong understanding of the company and its basic operations, investors may be looking at serious losses. [read post]
12 May 2020, 7:51 pm
According to the indictment, Cochran presented two businesses she operated with her late husband Michael Cochran, Tactical Solutions Group (TSG) and Technology Management Systems (TMS), as legitimate government contractors, although neither ever had a government contract, and fraudulently induced numerous victims to invest in the companies and in phony government contracts allegedly awarded to them. [read post]
12 May 2020, 7:51 pm
According to the indictment, Cochran presented two businesses she operated with her late husband Michael Cochran, Tactical Solutions Group (TSG) and Technology Management Systems (TMS), as legitimate government contractors, although neither ever had a government contract, and fraudulently induced numerous victims to invest in the companies and in phony government contracts allegedly awarded to them. [read post]
6 May 2021, 8:50 pm
The work of authorities such as the Cross Market Operational Resilience Group, the Finance Sector Cyber Collaboration Centre and the Financial Services Information Sharing and Analysis Center have shown what can be done when the industry works together. [read post]
8 Apr 2015, 3:28 pm
The company operates hundreds of oil and gas wells in the Appalachian Basin. [read post]
9 Apr 2015, 3:46 pm
The company operates hundreds of oil and gas wells in the Appalachian Basin. [read post]
31 Jan 2022, 2:35 am
Signature Securities Group Corporation, Respondent (FINRA Arbitration Award)... [read post]
10 Apr 2023, 4:02 am
After Thanking Very Helpful Whistleblower, The SEC Then Stabs The Tipster In The Back (BrokeAndBroker.com Blog) FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity (BrokeAndBroker.com Blog) Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group (BrokeAndBroker.com Blog) DOJ RELEASES Former Investment Banker and Registered Broker Charged with Operating Cryptocurrency… [read post]
15 Aug 2017, 2:15 am
DBD’s parent company Fortress Investment Group LLC, who has been making interesting forays into patent licensing operations in recent years. [read post]
26 Jul 2022, 9:01 pm
One remaining concern, even among the well-prepared, is operational readiness, which is the focus of the ARRC’s Operations and Infrastructure Working Group.[14]Asset managers – and their lawyers – should be mindful of their disclosure obligations with respect to LIBOR as well as any valuation risks arising from the transition. [read post]
8 Jun 2017, 9:22 am
For more information on The White Law Group, visit www.WhiteSecuritiesLaw.com. [read post]
25 Oct 2010, 1:52 pm
The EB-5 category allows for individuals to invest in the U.S., either actively by operating an investment enterprise, or passively as part of a group of individuals investing in an EB-5 regional center. [read post]
18 Nov 2011, 12:02 pm
The White Law Group is investigating how broker dealers sold and represented the IMH Secured Loan Fund investments to customers. [read post]
