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18 Feb 2022, 9:15 am
(To learn more see Registered Investment Advisor (RIA) – Securities Fraud Attorneys) The firm was also required to disclose all material facts relating to how those conflicts could affect the advice its associated persons provided its clients and was also obligated to provide its advisory clients with full disclosure so that the clients would have an informed basis on which they could consent to or reject the conflicts. [read post]
21 Sep 2019, 2:31 pm
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC (Investee)Knox… [read post]
26 Dec 2019, 6:52 am
(Chart 2) Q4 2019 investment pulse rate appears to be the lowest Q4 investment pulse rate in the last five years. [read post]
13 Aug 2024, 10:19 pm
Grove Point Investments (H. [read post]
23 Mar 2018, 6:41 am
Uruguay, in that the tribunal regarded trademarks and licenses as sufficient to constitute an “investment” under Article 25 ICSID Convention, despite the absence of any other form of investment commonly associated with investment, e.g. shares or real property. [read post]
20 Jan 2012, 8:06 am
Forget that David Lerner Associates has thrown out the window any semblance to commonly accepted investment norms, by failing to asset allocate among stocks, bonds and cash, for example (read: imprudent). [read post]
12 Feb 2021, 4:55 pm
Tips for Avoiding Investment Fraud Scams During Times of Social Isolation For those who have limited interaction with friends and family due to the risks associated with COVID-19 exposure, FINRA offers several tips for avoiding investment fraud scams. [read post]
18 Sep 2020, 9:48 am
Incorrectly believing that they have a clear understanding of the risks associated with different types of investments, seniors may be more prone to moving forward with investment offerings without taking the time to research the offerings and truly make informed decisions. [read post]
16 Aug 2023, 8:09 am
Signed into law by President Biden in December 2022, the Act required the Departments of Treasury and Commerce to submit reports on the establishment of an outbound investment screening mechanism and associated costs. [read post]
14 Apr 2020, 1:11 pm
COVID-19 Investment Management Related Updates Below is our compilation of communications that are relevant to investment managers. [read post]
19 Jul 2021, 6:57 am
., on Monday, July 19, 2021 Editor's Note: This post is based on an ISS EVA memorandum by Anthony Campagna, Global Director of Fundamental Research for Institutional Shareholder Services ISS EVA, and Gavin Thomson, Associate Director, ISS ESG, the responsible investment arm of Institutional Shareholder Services. [read post]
17 Nov 2014, 10:17 am
On November 12, during a keynote address at the annual convention of the American Association of Port Authorities in Houston, Vice President Biden issued a call to action for greater investment in U.S. port facilities. [read post]
8 Sep 2022, 6:39 am
According to the SEC, Aegis Capital’s brokers made unsuitable investment recommendations to at least 48 customers while omitting material information about the inherent and substantial risks associated with VRSPs. [read post]
28 Nov 2011, 7:50 pm
" Under certain circumstances, (specifically with OCC approval), such investments could equal a sum of up to 15% of capital stock paid-in and unimpaired and 15% of the association's unimpaired surplus fund. [read post]
21 Jan 2021, 12:32 pm
Pending Customer Disputes Involving David Lerner Associates Broker Rafael Klein Seek $300K in Damages Rafael Scott Klein, a David Lerner Associates broker and Spirit of America Management Corp. investment advisor, may have unsuitably sold investments in Energy 11, LP to customers. [read post]
29 Nov 2011, 8:00 am
The North American Securities Administrators Association (NASAA) announced today that state securities regulators have developed a coordinated review program for investment advisers switching from federal to state registration as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act.According to NASAA's news release this morning, the Investment Adviser Coordinated Review Program is open to SEC-registered investment advisers switching their… [read post]
22 Mar 2012, 9:05 am
However, due to a recent conviction of an agent in California, insurance agents across the country are becoming leery of offering indexed annuities as an option to investors, especially elderly investors, who may not understand how investing in an indexed annuity works or the high fees that are associated with the annuity, particularly if money is withdrawn early. [read post]
22 Aug 2024, 11:46 am
As the SEC continues its investigation, it seeks to impose severe penalties, including permanent injunctions, civil money penalties, and disgorgement of ill-gotten gains from the couple and the associated entities. [read post]
10 Aug 2017, 6:08 am
This post is based on a recent article, forthcoming in the Journal of Financial Economics, authored by Professor Larocque; Shane Corwin, Associate Professor of Finance at University of Notre Dame Mendoza College of Business; and Michael Stegemoller, Associate Professor of Finance at Baylor University Hankamer School of Business. [read post]
24 May 2023, 9:34 am
In addition, the proposal amends Article 29 IDD to complement the existing provisions on pre-contractual disclosures in the distribution of insurance-based investment products by adding a requirement to disclose information on all costs and associated charges, and their impact on expected returns. [read post]
