Search for: "Connected Investors, Inc."
Results 41 - 60
of 2,153
Sort by Relevance
|
Sort by Date
8 Jan 2024, 11:59 am
” The DOJ alleged that the PE firm “managed [the pharmacy] on behalf of its investors, allegedly knew of and agreed to the plan to pay outside marketers to generate the prescriptions and financed the kickback payments to the marketers. [read post]
4 Jan 2024, 12:10 pm
Integrated National Resources, Inc., et al., Cause No. 8:23-cv-00855 (C.D. [read post]
2 Jan 2024, 12:56 pm
The securities complaint alleges that the defendants made misrepresentations in connection with the events surrounding the other banks’ failures and leading up to the July merger. [read post]
31 Dec 2023, 4:00 am
It is common ground that, in closing submissions to the jury, Crown counsel should not have recounted an anecdote about a personal childhood memory that had no connection to the evidence (see Pisani v. [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
15 Dec 2023, 4:17 am
Filed in September, the putative class action accuses the trio of obscuring Disco’s financial struggles leading investors astray. [read post]
11 Dec 2023, 9:05 pm
Fresh Market, Inc.. [read post]
8 Dec 2023, 11:11 am
(CRD#: 4517367) reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation. [read post]
7 Dec 2023, 10:35 am
Justice tech caught the interest of both impact investors, as well as those seeking opportunities to fund the disruption of antiquated systems via technology. [read post]
5 Dec 2023, 10:38 am
BANCORP INVESTMENTS, INC. [read post]
1 Dec 2023, 10:14 am
Historically, boycotts were envisioned as a response to investor and buy-side risk, but also as part of a broader human rights framework. [read post]
30 Nov 2023, 2:02 pm
FINRA BrokerCheck Report – Edward Mercer According to this FINRA BrokerCheck report, Edward Mercer was affiliated with the following firms during his career, among others:09/01/2022 – 11/08/2023, CAMBRIDGE INVESTMENT RESEARCH, INC. [read post]
30 Nov 2023, 9:55 am
See also: Kovack Securities Inc. [read post]
29 Nov 2023, 9:01 pm
Overall, another year of high monetary sanctions illustrates the Division’s continued objective to “aggressively employ[] all of its tools to protect investors and market integrity[,]”[4] including by demanding penalties significantly exceeding penalty precedents in similar cases. [read post]
29 Nov 2023, 8:59 am
Curtis reportedly refused to appear for on-the-record testimony in connection with FINRA’s investigation into his potential conversion of funds. [read post]
28 Nov 2023, 10:19 am
Hernandez reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into his potential failure to disclose an Outside Business Activity (OBA) while he was associated with his member firm, Money Concepts Capital Corp. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that would have… [read post]
15 Nov 2023, 8:55 am
Fagan reportedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into the sale of certain fixed income securities by him. [read post]
15 Nov 2023, 6:26 am
Using all the Enforcement Division’s Tools to Protect Investors and the Integrity of the Markets In fiscal year 2023, the SEC’s Division of Enforcement aggressively employed all of its tools to protect investors and promote market integrity. [read post]
