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16 Jan 2012, 4:42 pm
Larry Alan Prelesnik, formerly with LPL Financial LLC, in Palm Desert, California, was fined $7,500 and suspended from association with any FINRA member for 20 business days in connection with a finding that Prelesnik sent oversimplified and incomplete solicitations to clients in connection with a 100 percent bond positioning strategy. [read post]
2 Feb 2021, 8:26 am
Some of the common investments associated with selling away are: Promissory notes Unregistered securities Hedge funds Real estate investments Third-party investment advisor services Oil & gas partnerships Multi-level marketing Small business and startup investments Did You Invest With Nicholas Palumbo? [read post]
4 Aug 2008, 10:21 pm
Last week the London Free Press shared findings on online gambling by June Cotte, an Associate Professor at the Richard Ivey School of Business at the University of Western Ontario. [read post]
4 Jun 2013, 8:45 am
Connecticut Retirement Plans and Trust Funds, No. 11-1085, slip op. [read post]
16 Jan 2020, 3:20 pm
The following article is reprinted with permission from the Jan. 15, 2010 edition of “The Delaware Business Court Insider”, (c) 2020 ALM Media Properties, LLC. [read post]
26 Dec 2013, 3:31 am
Cohen, associate director of the SEC's Division of Enforcement. [read post]
18 Jun 2015, 2:47 pm
The proposed Senate Bill reauthorizing the EB-5 Regional Center Program would restrict the types of projects that can be funded with EB-5 financing and amount of funds that can be raised with EB-5 financing. [read post]
18 Jun 2015, 2:47 pm
The proposed Senate Bill reauthorizing the EB-5 Regional Center Program would restrict the types of projects that can be funded with EB-5 financing and amount of funds that can be raised with EB-5 financing. [read post]
18 Jun 2015, 2:47 pm
The proposed Senate Bill reauthorizing the EB-5 Regional Center Program would restrict the types of projects that can be funded with EB-5 financing and amount of funds that can be raised with EB-5 financing. [read post]
13 Aug 2020, 10:13 am
Google LLC, 2020 BCSC 1108 (CanLII) (S. [read post]
23 Aug 2015, 9:31 pm
Ditto for Limited Liability Companies (LLCs). [read post]
27 Dec 2015, 8:19 am
Instead, the SEC found that Brogdon secretly commingled investor funds in typical Ponzi scheme like fashion and diverted investor money to other business ventures and personal expenses. [read post]
6 May 2020, 9:12 am
A lawsuit filed in the Southern District of New York, FirstFire Global Opportunities Fund, LLC v. [read post]
31 Oct 2022, 11:49 am
CasperLabs, LLC, No. 21-CV-474 TWR (AHG), 2022 WL 14915618 (S.D. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
15 Nov 2013, 5:24 pm
Insider Trading – Hedge Fund Manager In a press release, the SEC announced insider trading charges against a hedge fund trader. [read post]
5 Jun 2023, 10:13 am
” June 2021: Another Park Avenue broker, Robert Lax (CRD #1985758), was reportedly barred for allegations of Outside Business Activities. from associating with any FINRA member at any time. [read post]
1 Apr 2013, 10:39 am
He was also affiliated with several other business entities associated with Absolute Fuels, including Absolute Milling, LLC; Ellipse Energy, LLC; 21 Investments,LLC; and YGOG Holdings, LLC. [read post]
SEC Publishes Final Rule that Expands the Definition of ‘Accredited Investor’ for Private Placements
27 Aug 2020, 3:17 pm
James Please follow us on Twitter @CosLawGroup, on LinkedIn at Cosgrove Law Group, LLC, and on Facebook at Cosgrove Law Group, LLC. [read post]
