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Christopher Kennedy Allegedly Churned Customers Accounts
27 Nov 2023, 8:22 am by The White Law Group
(CRD#:39262), Woodland Hills, CA,  B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Scott Silver, Esq. Highlights Risk Of FINRA’s After The Fact Fines
21 Nov 2023, 2:26 pm by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Goodwin Procter Discusses Yet Another Two Decisions in Bernie Madoff Case
20 Nov 2023, 9:01 pm by renholding
” 27 In other words, they knew they were doing business with BLMIS, had regular communications with it, and received payments from it: “Defendants’ alleged contacts with New York are not random, isolated or fortuitous. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Attorneys at the firm are admitted in New York, Wisconsin and various federal courts around the country, and handle cases nationwide (in cooperation with attorneys located in those states if required by applicable rules). appeared first on Investor Lawyers Blog. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Brian Wurdemann Barred By FINRA Following Two Arbitration Actions
9 Nov 2023, 6:29 am by Silver Law Group
Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Andrew Miles Subject Of $1M In Several Customer Disputes Over Unsuitable Investment Strategies
6 Nov 2023, 9:46 am by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
How to Stop a Cash-Out Merger from Cancelling Your Shares
6 Nov 2023, 4:16 am by Peter J. Sluka
  Any challenge to any merger of a New York Corporation starts with: (i) the rules, which are set forth in Article 9 of New York’s Business Corporation Law and (ii) the principles set forth by the Court of Appeals in Alpert v 28 Williams St. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
FINRA Bars Broker Ron Filoramo After Fraudulent Induction Allegation
2 Nov 2023, 6:55 am by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2023
26 Oct 2023, 8:53 am by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
25 Oct 2023, 12:49 pm by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
25 Oct 2023, 8:30 am by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules August 2023
25 Oct 2023, 8:05 am by Silver Law Group
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
SEC Enforcement Chief Speaks on Corporate Compliance
24 Oct 2023, 9:01 pm by renholding
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Cole-Frieman & Mallon 2023 Q3 Update
20 Oct 2023, 2:40 pm by CFM Admin
In August 2023, the SEC charged a New York-based FinTech investment adviser of misleading investors with hypothetical performance results. [read post]
Hedge Fund Law Blog - http://www.hedgefundlawblog.com
Damages or Rescission? When Electing Fraud Remedies Choose Wisely
9 Oct 2023, 4:22 am by Franklin C. McRoberts
Co. of New York, 223 AD 24 [1st Dept 1928] [“In rescinding a contract and enforcing rights growing out of such rescission, one may only look to the other party to the contract”]. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Scams continue to target Texas attorneys
5 Oct 2023, 7:26 am by Joanna Herzik
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
State Bar of Texas Blog - http://blog.texasbar.com/
Davis Polk Discusses Recent SEC and CFTC Enforcement Actions
3 Oct 2023, 9:01 pm by renholding
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Use Caution When Amending Your Operating Agreement Without Unanimous Consent
2 Oct 2023, 4:22 am by Peter Mahler
In my experience, most operating agreements of New York LLCs include a provision barring amendments unless made in writing and executed by all members. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Broker Anthony Pitta Investor Alert: Investment Lawyers Investigating Potential Compensation Claims
28 Sep 2023, 1:51 pm by Alan Rosca
From 2005 to 2010, Pitta reportedly was an investment adviser with Park Avenue Securities LLC, in Woodbury, New York. [read post]
Investor Lawyers GSP - https://investorlawyers.org/investigations/
Broker Anthony Pitta Investor Alert: Investment Lawyers Investigating Potential Compensation Claims
28 Sep 2023, 1:51 pm by Alan Rosca
From 2005 to 2010, Pitta reportedly was an investment adviser with Park Avenue Securities LLC, in Woodbury, New York. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org