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23 Apr 2020, 10:20 am
The fund manager was barred from the securities industry for 10 years. [read post]
14 Dec 2010, 8:50 am
Starting on January 1, 2011, all funds must comply with the requirements of the Securities and Investment Business Act, 2010 (“SIBA”) instead of the current Mutual Funds Act, 1996 (“MFA”). [read post]
29 Oct 2019, 6:37 am
With losses approaching 70% for some investors, sitting on the sidelines, waiting for the funds to turn around is apparently not working for investors in the GPB Capital funds, and the situation is not getting better.While investors are filing arbitrations to recover their losses in GPB Capital, and investigations pending by the SEC and FINRA, the financial press is reporting that the Massachusetts Securities Division has announced an investigation of its own. [read post]
18 Nov 2009, 11:54 am
NASAA today announced another settlement (in principle) with a securities firm over its sales of auction rate securities (ARS). [read post]
3 Dec 2013, 12:56 pm
Fox has posted Due Diligence with Residential Mortgage Backed Securities on SSRN with the following abstract: In seeking to explain how securitized funds became available for the large volume of mortgages that were inappropriately extended in the runup... [read post]
24 Jul 2012, 3:26 pm
According to SIFMA, the American Bankers Association and the Managed Funds Association, the proposed guidance will have a significant impact on how the global derivatives markets will be regulated and will have broad repercussions on how banks, securities firms and hedge funds conduct their swaps business. [read post]
6 Oct 2021, 3:17 pm
CRS In Focus: Social Security: Selected Findings of the 2021 Annual Report, October 5, 2021: “According to the recent report of the Board of Trustees of the Social Security Trust Funds, the program’s finances are in a similar, all be it marginally worse, position in 2021t o what they were in 2020. [read post]
8 Jul 2013, 1:10 pm
Our attorneys have participated in all aspects of the private placement of securities, representing issuers, private placement agents, equity funds, institutional investors and venture capital firms in every type of private financing transaction, including seed financing angel investments, venture capital financing, later stage equity or mezzanine financing, PIPES and private debt financing. [read post]
23 Apr 2019, 2:14 pm
Shopoff Land Fund V, L.P. [read post]
10 Nov 2022, 9:53 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]
23 Oct 2023, 1:25 pm
Abstract below: Social Security is funded by a regressive tax wherein wages below the wage cap ($160,200 in 2023) are taxed at a flat rate but wages above the cap are taxed at zero. [read post]
13 Apr 2021, 5:12 am
Over GPB Funds appeared first on Securities Arbitration Lawyer Blog. [read post]
15 May 2015, 12:13 pm
This vital, though not legally binding, declaration is helping to secure Indigenous rights worldwide, and FPIC, which is part of the Declaration, acts as an informal guideline to bringing Indigenous communities closer to securing self-governance. [read post]
1 Feb 2024, 7:13 am
In October 2022, reports alleged Bush spent high levels funds on personal security measures. [read post]
6 Feb 2007, 4:49 am
Federal charges were filed against former hedge fund manager John Wittier of Hailey, Idaho, for a securities fraud scheme that created losses of $88 million. [read post]
6 Sep 2011, 6:30 am
Does the value of the ETF equal that of its underlying securities? [read post]
18 Feb 2005, 11:00 am
[corporate website], for failing to disclose to investors that its financial advisors were given incentives to push certain mutual funds over better performing funds. [read post]
27 Feb 2003, 9:48 pm
The Court upheld a $20 million securities fraud judgment against a fugitive former hedge fund manager who skipped his criminal sentencing in 2002, saying that the trial court had jurisdiction over the fund governed by the laws of the British Virgin islands: "[W] [read post]
22 May 2018, 2:12 pm
” She recommends that fund managers pay close attention to the security measures their cloud storage vendors have in place and “diversify their risk” by hiring multiple data firms. [read post]
26 May 2021, 1:26 pm
The post Silver Law Group Represents First Landing Fund, LLC Investors appeared first on Securities Arbitration Lawyers Blog. [read post]
