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Another Mexican Investor Pursues JP Morgan Securities Over Omnia/Old Mutual (Bermuda) Losses
1 Apr 2022, 1:41 pm by Shepherd Smith Edwards & Kantas, LLP
Morgan Securities, LLC (JPMS) over losses suffered by a foreign national. [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
eDiscovery Mergers, Acquisitions, and Investments in Q1 2022
1 Apr 2022, 12:16 pm by Rob Robinson
(Merger) (Combined Company Now Rampiva Global LLC) 29-Sep-20Acuity ELMMitratech 28-Sep-20GlobanetVeritas 8-Sep-20HaiveAyfie 3-Sep-20IntegroInnovative Discovery 19-Aug-20Venio Systems (Investee)Software Growth Partners (Investor) 13-Aug-20CaseLinesThomson Reuters 11-Aug-20NexLPReveal 5-Aug-20AnexsysXact Data Discovery 4-Aug-20NightOwl Global (Merger)HaystackID (Merger) 31-Jul-20Tracker CorpMitratech 14-Jul-20LightSpeedXact Data Discovery 8-Jul-20RVMXact Data Discovery 7-Jul-20NetGovernIpro… [read post]
ComplexDiscovery - https://complexdiscovery.com/
Weekly Roundup: March 25-31, 2022
1 Apr 2022, 6:01 am
Securities and Exchange Commission, on Thursday, March 31, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Jury Finds Ambassador Advisors Breached Fiduciary Duty 
29 Mar 2022, 9:27 am by The White Law Group
     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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities Industry Commentator by Bill Singer Esq
25 Mar 2022, 12:16 pm
(Opinion, United States Supreme Court)Massachusetts Superior Court Denies Secretary of State Galvin's Motion Against RobinhoodRobinhood Financial, LLC. v. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Ex-LPL Broker Jonathan Cooke found liable in Annuities Fraud Scheme
25 Mar 2022, 8:35 am by The White Law Group
     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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Mario Rivero Jr. Arrested After SEC Files Charges
24 Mar 2022, 8:51 am by Silver Law Group
., CRD# 5856503), 38, is a former registered broker and investment advisor whose last known employer was LPL Financial LLC (CRD#:6413) of Red Bank, NJ. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Geneos Wealth Sanctioned for Rules Violations for LJM Funds & GPB Capital Funds
21 Mar 2022, 11:09 am by The White Law Group
   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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Job Announcements
18 Mar 2022, 11:31 am by gabrielagendreau
Jill Grant & Associates, LLC Attorney. [read post]
Turtle Talk - http://turtletalk.wordpress.com/
Mass. Securities Regulator Investigates Firms on Interest Rates in Sweep Accounts  
18 Mar 2022, 8:52 am by The White Law Group
    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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
News You Can Use Digest – March 18, 2022
18 Mar 2022, 4:00 am by Jim Sedor
A law required Manigault Newman to file a public financial disclosure report within 30 days of her termination on December 12, 2017. [read post]
Lobby Comply Blog - https://stateandfed.com/lobbycomply/feed
Paul Koch, RBC Broker, Barred from Securities Industry  
17 Mar 2022, 12:08 pm by The White Law Group
Paul Koch was reportedly affiliated with the following firms during his career, among others, according to FINRA:    10/26/2018 – 02/04/2022, RBC CAPITAL MARKETS, LLC (CRD#:31194), Wayzata, MN,    01/28/2009 – 11/07/2018, UBS FINANCIAL SERVICES INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Transamerica Financial Advisor Scott Fries Settles Fraud Charges with SEC  
17 Mar 2022, 8:32 am by The White Law Group
   Scott Fries was reportedly affiliated with the following firms among others, according to FINRA:    10/03/2014 – 07/18/2019, TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164), CINCINNATI, OH   12/18/2008 – 09/22/2014, NYLIFE SECURITIES LLC (CRD#:5167), PIQUA, OH   FINRA reportedly barred Fries in 2019 after he failed to provide information in its investigation. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Mario Rivero Jr., Ex-Wells Fargo Broker, Reportedly Charged with Stealing Half a Million Dollars from Clients 
15 Mar 2022, 12:18 pm by The White Law Group
, allegedly misappropriated funds from four clients while working as a financial advisor, according to the article, citing the U.S. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Sila Realty Trust Inc. tells Shareholders to Reject Tender Offer
15 Mar 2022, 1:53 am by The White Law Group
  According to a Letter to Stockholders on March 7, the Board recommended they reject an unsolicited tender offer by CMG Partners and its affiliates, CMG Income Fund II LLC, CMG Liquidity Fund LLC and Blue River Capital LLC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Guest Post: Proceed with Caution: Concerns About Delaware’s New Captive Statute
14 Mar 2022, 1:59 pm by Kevin LaCroix
Financial Lines, and Dan Bailey, Member of Bailey Cavalieri LLC, take a look at the Delaware captive legislation and raise a number of concerns about the new law. [read post]
The D & O Diary - http://www.dandodiary.com/
Las Vegas Lawyer Matthew Beasley Allegedly Ran $300M Ponzi Scheme, Shot By FBI
14 Mar 2022, 11:38 am by Silver Law Group
Investors were directed to form an LLC to earn their return on investment. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
SmartStop Self Storage REIT Suspends SRP
14 Mar 2022, 2:45 am by The White Law Group
  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]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
The SEC Had No Love for BlockFi this Valentine’s Day
11 Mar 2022, 1:05 pm by Christopher J. Hubbert
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
KJK Legal News & Insights - https://kjk.com/news-insights/
Advisor Group Broker-Dealers Facing $19.4M in GPB Capital Holdings Investor Claims
11 Mar 2022, 12:50 pm by Samuel B. Edwards
The GPB funds plunged in value. [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/