Search for: "20/20 Investments"
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7 Apr 2014, 7:01 am
Claimant alleged that the broker also incorrectly selected his investment experience in options, stocks, and bonds as being 20 years. [read post]
26 Oct 2018, 11:47 am
He reportedly faces up to 20 years in federal prison for each count as well as thousands of dollars in possible fines if convicted. [read post]
22 Nov 2019, 2:34 pm
But, Congress acted and passed a continuing resolution that would keep the government running and reauthorize the EB-5 Regional Center Program until December 20, 2019. [read post]
2 May 2012, 8:32 am
malpractice lawsuits represent people seeking a payday from 20 million in malpractice coverage. [read post]
26 Sep 2011, 3:11 am
Implications for Investment Managers If you currently manage a fund that invests in New Issues, you will likely be asked to complete a Rule 5131 certification by your broker-dealer. [read post]
17 May 2018, 1:39 pm
Executive Compensation Planners had operated through brokerage firm Securities America Inc. for over 20 years. [read post]
1 Oct 2018, 6:45 am
Before recommending an investment, a broker-dealer has a fiduciary duty to adequately disclose the risks involved in the investment and to perform the necessary due diligence to determine whether the investment is suitable for the investor. [read post]
10 Sep 2009, 5:27 pm
After all, who could complain about an investment that increased 10% to 20% in value for a number of years? [read post]
6 Jun 2011, 1:59 pm
Our attorneys are representing investors who have suffered losses investing in the Apple REITs along with those who are seeking to rescind (get out of) their investment in these products. [read post]
18 Oct 2018, 2:01 pm
The estate tax generated only $20 billion in 2017, or about 0.7 percent of all federal revenues. [read post]
16 Mar 2018, 7:37 am
Mail fraud carries a maximum penalty of 20 years in prison and a $250,000 fine. [read post]
6 Jul 2021, 5:30 am
Long-term capital gains (held for more than one year) are taxed at lower rates, ranging from 0 percent to 20 percent, plus a 3.8 percent NIIT, depending on an investor’s income. [read post]
7 Jul 2012, 6:16 am
Location: Jacksonville, FL **** Cole-Frieman Mallon & Hunt LLP provides legal services for hedge fund managers and other groups within the investment management industry. [read post]
30 Jul 2019, 7:00 pm
The primary measure of an investment is return on investment. [read post]
12 Jan 2021, 7:18 am
Further, VALIC reportedly failed to timely report statistical and summary information for 174 written customer complaints received by the firm between June 26, 2017 and March 20, 2018, according to the AWC. [read post]
11 Mar 2010, 12:42 pm
More broadly, he said that it was essential to fulfill the G-20 commitment to avoid discrimination and maintain a level playing field in regulating the alternative investment fund management industry.Recently, Dan Waters, Director of Asset Management at the Financial Services Authority, said that the revised proposed Alternative Investment Fund Managers Directive would restrict the access of EU institutional investors to valid investment opportunities in US hedge… [read post]
15 Nov 2016, 3:33 pm
Kestra Investment Services, LLC – fined $475,000. [read post]
6 Feb 2023, 9:14 am
The wire fraud and security fraud count each carry a maximum potential penalty of 20 years in prison and maximum fines of $1 million, and $5 million, respectively. [read post]
22 Sep 2010, 1:15 pm
Among U.S. prime money funds rated by Moody's Corp., the top 20 corporate issuers accounted for 36% of assets as of June. [read post]
15 Apr 2012, 8:33 am
Madoff is currently serving a 150-year prison sentence after he was convicted of defrauding thousands of investors out of an estimated $20 billion. [read post]
