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26 Mar 2019, 12:50 pm
According to a press announcement this week, the Securities and Exchange Commission has reportedly charged registered investment adviser Direct Lending Investments LLC with a multi-year alleged fraud that purportedly resulted in approximately $11 million in over-charges of management and performance fees to its private placement funds, as well as the inflation of the private funds’ returns. [read post]
19 Jun 2018, 8:41 am
The post Colorado Advisor Dennis Farrah Barred from Securities Industry appeared first on White Securities Law. [read post]
14 Jul 2017, 8:23 am
The post CION Investment Corporation Securities Fraud Investigation appeared first on White Securities Law. [read post]
23 Oct 2019, 1:27 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
7 Jul 2017, 8:12 am
According to their website, NorthStar Securities, LLC is the broker-dealer affiliate of Colony NorthStar, Inc. [read post]
12 Dec 2018, 1:05 pm
The post Investment Scam: Ex-MRI International CEO Convicted in $1.5B Ponzi Scam, Receiver Says Aequitas Capital Management Was Involved in $617M Fraud, and Texas-Based AriseBank CEO Is Accused in $4M Cryptocurrency Scheme appeared first on Securities Fraud Attorney. [read post]
7 Feb 2023, 6:12 am
N.J.S.A. 42:2C-68 provides that: A member may maintain a derivative action to enforce a right of a limited liability company if: the member first makes a demand on the other members in a member-managed limited liability company, or the managers of a manager-managed limited liability company, requesting that they cause the company to bring an action to enforce the right, and the managers or other members do not bring the action within a… [read post]
19 Dec 2018, 3:30 am
As recently reported, both the SEC and FINRA have commenced their own investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
8 Jul 2019, 8:08 am
Following the now famous €50m fine imposed on Google LLC in January 2019,[1] the French Data Protection Authority (the CNIL) published a decision taken on 28 May 2019[2] imposing a fine of €400,000 on SERGIC, a company specialised in real estate development, purchase, sale, rental and property management. [read post]
30 May 2024, 7:28 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
18 Feb 2019, 2:34 pm
John Reed Stark In a February 14, 2019 order, Southern District of California Judge Gonzalo Curiel entered an order reversing his earlier decision on the same issue and concluding that the digital tokens offered by cryptocurrency company Blockvest LLC represented “securities” within the meaning of the federal securities laws. [read post]
3 Oct 2010, 5:00 am
Partners, LLC v. [read post]
31 Oct 2017, 2:07 pm
On October 24, 2017, the New Jersey Bureau of Securities (the “Bureau”) entered into a Consent Order (“Order”) with Boston-based brokerage firm LPL Financial, LLC (CRD# 6413) (“LPL”), in connection with LPL’s sales of certain non-traded investment products to residents of New Jersey. [read post]
16 Apr 2018, 6:54 am
Last month, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Valor Capital Asset Management, LLC, a registered investment adviser, and its owner, Robert Mark Magee. [read post]
7 Feb 2012, 9:28 am
FMR LLC, No. 10-2240, The panel stated that it interpreted the statute differently and reversed the district court's decision. [read post]
28 Feb 2023, 7:11 am
Morgan Securities LLVC Jason Long State Farm VP Management Corp. [read post]
15 Feb 2012, 12:37 pm
FMR LLC, No. 10-2240, 2012 U.S. [read post]
15 Feb 2012, 12:24 pm
FMR LLC, No. 10-2240, 2012 U.S. [read post]
24 Oct 2014, 3:52 am
[Answer in first comment].In re Flatiron Partners, LLC, Serial No. 85699903 (October 22, 2014) [not precedential]. [read post]
31 Jan 2019, 9:54 am
Continue reading The post Peter Malis Client Awarded $1.1M Settlement After Churning Allegations appeared first on Securities Arbitration Lawyers Blog. [read post]
