Search for: "Security First Managers, LLC. "
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13 Aug 2019, 10:34 pm
Securities and Exchange Commission (SEC), the FBI, and the New York Business Integrity Commission are reportedly investigating GPB Capital Holdings LLC (“GPB”). [read post]
21 Aug 2020, 5:45 am
In Interactive Brokers, LLC v. [read post]
30 Sep 2010, 10:23 am
The SEC claims that Grant was a registered representative of Wedbush and almost all of his accounts were by First Wilshire Securities Management, a California investment adviser. [read post]
19 Apr 2013, 10:00 am
FundersClub Management LLC exercises management rights and provides the start-up with strategic and networking assistance. [read post]
15 Aug 2024, 8:48 am
Jones & Co., L.P. agreed to pay a $50 million penalty LPL Financial LLC agreed to pay a $50 million penalty Raymond James & Associates, Inc. agreed to pay a $50 million penalty RBC Capital Markets, LLC agreed to pay a $45 million penalty BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch… [read post]
22 Feb 2017, 5:47 pm
Appellant Secure Axcess,LLC (“Secure Axcess”) challenges a Final WrittenDecision of the Patent Trial and Appeal Board (“Board” or“PTAB”). [read post]
2 Sep 2022, 8:13 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]
2 Nov 2017, 10:17 am
– BDC Securities Investigation appeared first on White Securities Law. [read post]
13 Feb 2024, 10:47 am
The post Brett Hartvigson Barred from Securities Industry appeared first on The White Law Group. [read post]
17 Jun 2021, 7:26 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. [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
24 Jun 2018, 5:05 am
This is not Renison’s first securities offense. [read post]
30 Aug 2017, 10:01 am
ArciTerra Group, LLC acquires, holds, develops, manages, leases, and sells real estate properties in North America. [read post]
9 Jul 2018, 12:46 pm
The post FINRA Suspends Registered Individuals in June 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Dec 2021, 9:50 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]
21 Apr 2022, 9:19 am
appeared first on The White Law Group. [read post]
1 Sep 2023, 6:44 am
The post Former Cetera Broker Clarice Saw Charged With Fraud By The SEC appeared first on Securities Arbitration Lawyers Blog. [read post]
23 Mar 2021, 12:51 pm
The post Lawsuit Filed Against Cetera Advisors, LLC over High Risk Energy Investments appeared first on The White Law Group. [read post]
6 Mar 2022, 3:15 pm
Google, LLC, 358 Ga. [read post]
9 Jan 2019, 10:15 am
The proceedings are the SEC’s first enforcement actions against robo-advisers, which provide automated, software-based portfolio management services.An SEC order found that Redwood City, California-based Wealthfront Advisers LLC (formerly known as Wealthfront Inc.), a robo-adviser with over $11 billion in client assets under management, made false statements about a tax-loss harvesting strategy it offered to clients. [read post]
