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20 Aug 2012, 2:28 pm
” (quoting the Hawaii Supreme Court in BlueEarth Biofuels, LLC v. [read post]
24 Aug 2012, 10:53 am
The emails indicated that JPMorgan had provided a $105 million line of credit to the hedge fund that it used to facilitate its late trading in mutual funds. [read post]
26 Sep 2012, 7:34 pm
However, not only did Alleca sustain financial losses when he allegedly opted to instead use investors money to engage in securities trading, but also he then hid the losses, made the fraud worse, and sustained even more losses. [read post]
15 Mar 2021, 7:13 am
Contact us today and let us know how we can help. [read post]
16 Jul 2019, 9:04 am
Contact us today. [read post]
21 Jun 2011, 7:21 pm
The US Securities and Exchange Commission accused Gupta in 2008 of insider trading, alleging a brother of a Georgia-Pacific board member illegally shared information on a deal with Gupta, who then bought more than $1 million of Georgia-Pacific securities and gained $689,401 in profits. [read post]
2 Apr 2021, 1:29 pm
“The products, which are made off exchanges, allow managers like Hwang to amass stakes in publicly traded companies without having to declare their holdings. [read post]
30 Nov 2021, 8:01 am
Contact us today at (800) 975-4345 and let us know how we can help. [read post]
29 Jul 2020, 12:36 pm
VW Contributor: Skylar Young © 2020 Vandenack Weaver LLC For more information, Contact Us [read post]
21 Mar 2011, 12:34 pm
Just as the SPAC market was shutting in 2008, the New York Stock Exchange (NYSE) and NASDAQ proposed rule changes to allow SPACs on those exchanges. [read post]
5 Sep 2017, 7:25 am
He allegedly commingled the funds with his own money and used them for his own purposes, and in some instances, he purportedly used customer funds to pay returns to earlier investors. [read post]
27 Feb 2012, 10:59 am
American Master Lease LLC, __ F.3d __ (Fed.Cir. 2012)(Judge Prost joined by Judges Schall and Moore. [read post]
23 Dec 2021, 10:00 am
In that case, Starbucks sued a coffee shop in New Hampshire that was using the trade name “Mr. [read post]
22 Jul 2014, 7:00 am
Those claims involve unauthorized trading, unsuitable investments, and excessive use of margin. [read post]
18 Mar 2021, 7:43 am
Additionally, the Division will concentrate on recommendations regarding account type, conversions, and rollovers, as well as the sales practices used by firms for various product types, such as structured products, exchange-traded products, real estate investment trusts, private placements, annuities, digital assets, municipal and other fixed income securities, and microcap securities. [read post]
4 Feb 2022, 12:33 pm
The agencies are seeking from Safeguard and Santulan the return of ill-gotten gains, civil monetary penalties, restitution, permanent registration, trading bans, and a permanent injunction of further violation of the Commodity Exchange Act, state regulatory laws, and CFTC regulations. [read post]
4 Feb 2022, 6:10 am
Said Toshiba: “Sponsored ADRs trading on U.S. exchanges automatically satisfy Morrison. [read post]
7 Oct 2011, 2:36 pm
Pershing, LLC, 10-12227-RGS (D. [read post]
8 Sep 2020, 2:32 pm
In addition, Hu is alleged to have sold over $60 million in phony trade finance loans to investors, using the proceeds to pay back other customers who made redemption requests for earlier investments. [read post]
16 Dec 2014, 4:13 am
Newman, the Second Circuit considered appeals from the insider trading convictions of Todd Newman, a former portfolio manager at Diamondback Capital Management, LLC, and Anthony Chiasson, a former portfolio manager at Level Global Investors, LP. [read post]
