Search for: "Security Financial Fund LLC"
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13 Jun 2022, 6:56 am
The Securities and Exchange Commission said three Charles Schwab investment adviser subsidiaries for not disclosing that they were allocating client funds in a manner that their own internal analyses showed would be less profitable for their clients under most market conditions. [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]
9 Jun 2022, 11:40 am
Middlebrooks and his firm, EIA All Weather Alpha Fund I Partners LLC, told investors that the hedge fund had earned cumulative returns of up to 2,500% from its inception through January 2022. [read post]
9 Jun 2022, 7:56 am
The lawsuit is reportedly seeking the return of the allegedly misappropriated funds, plus interest, and lawyers’ fees, according to the article. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
7 Jun 2022, 3:29 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
6 Jun 2022, 10:55 am
SEC Charges AlphaCentric Advisors LLC with Compliance Violations Relating to Valuation of Mutual Fund Assets According to an administrative announcement on Jun. 3, 2022, the Securities and Exchange Commission has reportedly settled charges against Puerto Rico-based registered investment adviser AlphaCentric Advisors LLC for compliance violations in its role as adviser to the AlphaCentric Income Opportunities Fund. [read post]
3 Jun 2022, 6:49 am
Traders are so nervous that in May, Alibaba lost $26 billion in value within minutes after an individual who shared co-founder Jack Ma’s surname was accused of endangering national security. [read post]
3 Jun 2022, 6:06 am
Parker, LLC can help. [read post]
2 Jun 2022, 7:30 pm
According to the news release, GWG and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
2 Jun 2022, 7:35 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
31 May 2022, 12:22 pm
Secondary Sales: Sila Board Recommends Rejecting Tender Offer According to a Letter to Stockholders on March 7, the Board recommended they reject an unsolicited tender offer by CMG Partners and its affiliates, CMG Income Fund II LLC, CMG Liquidity Fund LLC and Blue River Capital LLC. [read post]
27 May 2022, 6:31 am
Kress (University of Michigan), on Tuesday, May 24, 2022 Tags: Banks, Capital requirements, Climate change, Credit supply, Dodd-Frank Act, ESG, Financial institutions, Financial regulation, Ratings agencies, Risk management ESG Incentives and Executives Posted by Ira T. [read post]
27 May 2022, 6:31 am
Kress (University of Michigan), on Tuesday, May 24, 2022 Tags: Banks, Capital requirements, Climate change, Credit supply, Dodd-Frank Act, ESG, Financial institutions, Financial regulation, Ratings agencies, Risk management ESG Incentives and Executives Posted by Ira T. [read post]
26 May 2022, 1:17 pm
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
23 May 2022, 5:45 pm
Securities and Exchange Commission (SEC) has charged Allianz Global Investors U.S. [read post]
21 May 2022, 11:11 am
”Recoverable grant useful – may be used to find charitable activities where revenue generation and ability to repay are less certain than anticipated for loans; may help grantee’s financial statements and credit rating; less pressure for grantee to repay; may be more familiar to grantor and grantee (e.g., with respect to compliance)Program related investments (PRIs) are defined in IRC 4944(c) – include loans, equityLoan useful – may build borrower’s… [read post]
21 May 2022, 3:43 am
By application of “the sole and proper” test, the Board held that Google LLC did not qualify as a data user under the Ordinance as no part of the data cycle (i.e., collection, holding, processing, and use) was based out of Hong Kong. [read post]
20 May 2022, 8:25 am
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
