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27 Mar 2013, 1:43 pm
The recent action by the Securities and Exchange Commission against the Intercontinental Regional Center Trust of Chicago, LLC, and its operator, Anshoo Sethi, have caused investors to question how many other EB-5 investments are being offered by unscrupulous operators making fraudulent statements in their offering documents and presentations. [read post]
28 Jun 2007, 4:36 am
Varitalk, LLC v. [read post]
19 Oct 2022, 6:49 am
Please call 888-637-5510 for a free consultation, or visit us on the web at www.whitesecuritieslaw.com. [read post]
2 Mar 2021, 1:41 pm
Investment firm Infinity Q Capital Management LLC has halted investor redemptions following the discovery of potentially serious valuation issues. [read post]
4 Sep 2016, 6:56 am
The defendants essentially used a company with no business operations and little revenue and deceived the market and their clients into believing it was worth hundreds of millions of dollars through unauthorized trades and deceptive promotions. [read post]
6 Aug 2009, 8:36 am
" It remains unclear whether any of the money to be used to pay the fine was derived from the $20 billion in public funding. [read post]
20 Feb 2014, 7:33 am
For companies with shares traded on a public exchange or securities registered with the U.S. [read post]
4 Nov 2013, 5:18 am
Further, FINRA found that Hotton lost millions of dollars in customer accounts by engaging in fraudulent churning and excessively trading client accounts, exercising discretion without authorization, trading without authorization, and recommending unsuitable transactions in violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, NASD Rules 2120, 2310, 2510, IM-2310-2, and 2110, and FINRA Rules 2020 and 2010. [read post]
20 Sep 2018, 2:27 pm
Former Michigan Financial Adviser Faces SEC Charges in $2.7M Investment Scam that Defrauded Seniors The US Securities and Exchange Commission has filed fraud charges against Ernest J. [read post]
9 Aug 2009, 8:32 pm
The travel guide publisher, Go Northwest, LLC, obtained a federal registration for its mark last year, claiming it has used the mark in commerce since 1999. [read post]
22 May 2014, 3:56 pm
Hunter Wise Commodities, LLC, Hunter Wise Services, LLC, Hunter Wise Credit, LLC, and Hunter Wise Trading, LLC and the individuals running the companies, have been ordered to pay, jointly and severally, $52.6 million in restitution to the defrauded customers and to pay a civil monetary penalty, jointly and severally, of $55.4 million, the maximum provided by law. [read post]
18 Dec 2006, 12:29 pm
Related Web Resource: Trading Suspension of 800America.com Inc., Securities Exchange Act of 1934, Release No. 46820 / November 13, 2002 [read post]
27 Nov 2023, 7:50 am
In May, the CFTC filed an action against Phillip Galles and the various Tyche entities he controlled, including Tyche Asset Management LLC, Tyche Master Fund Ltd, and Tyche Asset Trade LLC. [read post]
24 Oct 2018, 12:45 pm
The US Securities and Exchange Commission announced this week that Christopher Faulkner, a Texas businessman, will pay $23.8M to settle oil and gas charges involving an alleged over $80M securities scam that bilked hundreds of investors. [read post]
22 Aug 2017, 6:46 am
In 2010, the Securities and Exchange Commission (“SEC”) filed a complaint against Hicks and his two hedge fund advisers, Southridge Capital Management LLC (“Southridge Capital”) and Southridge Advisors, LLC (“Southridge Advisors”). [read post]
20 Jun 2018, 5:51 am
Unauthorized trading is often a gateway violation to other securities violations including churning, unsuitable investments, and excessive use of margin. [read post]
15 Apr 2019, 11:44 pm
After an exchange of letters, the parties signed a coexistence agreement by which BMWAssociates (not Mr Whitehouse) agreed to limit his use of BMW. [read post]
30 Oct 2022, 11:31 am
The SEC imposed fines on U.S. exchange-listed publicly traded companies at the highest levels in years during fiscal year 2022 (which ended September 30, 2022), according to an analysis published Saturday by the Wall Street Journal. [read post]
30 Apr 2012, 11:54 pm
The Securities and Exchange Commission is accusing optionsXpress, a Charles Schwab Corp. [read post]
6 May 2020, 6:29 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
