Search for: "Security Financial Fund LLC"
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22 Apr 2022, 5:33 am
Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Tags: Comment letters, Institutional Investors, Investment advisers, Investor protection, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
22 Apr 2022, 4:00 am
Campaign Finance Watchdog Cracks Down on Untraceable Super PAC Donations MSN – Zach Montellaro (Politico) | Published: 4/15/2022 A statement from four of the six members of the FEC indicated the agency would now start cracking down on straw donations to super PACs that are funneled through limited liability companies (LLCs) by requiring disclose of who is behind the LLCs. [read post]
20 Apr 2022, 2:13 pm
Morgan Securities LLC (CRD#:79) of Sherman Oaks, CA, Chase Investment Services Corp. [read post]
20 Apr 2022, 10:39 am
The post Zamansky LLC Investigates Former Morgan Stanley Financial Advisor Shawn E. [read post]
19 Apr 2022, 11:38 am
In response to the complaint filed by Opportunity Financial, LLC (OppFi) seeking to block the California Department of Financial Protection and Innovation (DFPI) from applying California usury law to loans made through OppFi’s partnership with FinWise Bank (Bank), the DFPI has filed a cross-complaint seeking to enjoin OppFi from collecting on the loans and to have the loans declared void. [read post]
19 Apr 2022, 9:31 am
He was reportedly affiliated with the following firms, among others, during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC, 11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC According to a Letter of Acceptance Waiver and Consent issued on April 14, the Financial Industry Regulatory Authority (FINRA) has barred Good from working in the… [read post]
19 Apr 2022, 5:05 am
Congress first enacted the AKS in 1972 as amendments to the Social Security Act. [read post]
18 Apr 2022, 7:24 am
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 Seattle, Washington. [read post]
15 Apr 2022, 4:00 am
National/Federal Before Giving Billions to Jared Kushner, Saudi Investment Fund Had Big Doubts Yahoo News – David Kirkpatrick and Kate Kelly (New York Times) | Published: 4/10/2022 Six months after leaving the White House, Jared Kushner secured a $2 billion investment from a fund led by the Saudi crown prince, a close ally during the Trump administration, despite objections from the fund’s advisers about the merits of the deal. [read post]
14 Apr 2022, 5:34 am
Every business must have a business structure, such as a sole proprietorship, partnership, limited liability company (LLC), or corporation. [read post]
13 Apr 2022, 11:29 am
The White Law Group, LLC is a national securities fraud, securities arbitration and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
13 Apr 2022, 9:35 am
Western Asset SMASh Series Core Plus Completion Fund (LMECX) Securities Investigation Did your financial advisor recommend investing in a high yield bond fund such as Western Asset SMASh Series Core Plus Completion Fund (LMECX)? [read post]
13 Apr 2022, 1:31 am
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 Seattle, Washington. [read post]
9 Apr 2022, 3:01 am
DC Civil Suit over Misuse of 2017 Inauguration Funds In a non-criminal suit, the DC Attorney General is suing several Trump-affiliated entities for misusing inauguration funds to enrich Trump’s family business. [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Friday, April 1, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles The SEC’s Proposed New Short Disclosure/Sale Requirements Posted by Kevin J. [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Friday, April 1, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles The SEC’s Proposed New Short Disclosure/Sale Requirements Posted by Kevin J. [read post]
8 Apr 2022, 3:00 am
Social Security disability benefits are one of the most important ways individuals with disabling medical conditions can support themselves financially, but the process is prone to abuse. [read post]
7 Apr 2022, 12:30 pm
She was reportedly affiliated with the following firms, among others, during her career in the securities industry: 10/03/2016 – 06/11/2021, CETERA ADVISORS LLC (CRD#:10299), AVON, CT, 01/04/2008 – 10/03/2016, INVESTORS CAPITAL CORP. [read post]
4 Apr 2022, 7:43 am
According to his FINRA BrokerCheck report, Velten is not currently registered as a broker, but was reportedly affiliated with the following firms during his career in the securities industry: 01/27/2020 – 04/28/2020, AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363), New Port Richey, FL, 07/27/2018 – 01/27/2020, INDEPENDENT FINANCIAL GROUP, LLC (CRD#:7717), NEW PORT RICHEY, FL 08/18/2006 –… [read post]
2 Apr 2022, 12:37 pm
For Sale Practice and Supervisory Failures Related to GPB Capital and LJM Preservation and Growth Fund Offerings appeared first on Securities Arbitration Lawyer Blog. [read post]
