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Triad Advisors and its Ex-Florida-Based Broker Placed Claimants Funds In Too Risky GPB Capital & REIT Investments   Two Utah retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Triad Advisors, Inc. over losses they suffered from investing in GPB private placements and privately traded real estate investment trusts (REITs), including American Realty Capital Trust. [read post]
10 Jan 2021, 5:39 am by Rob Robinson
Even with the constraints of the COVID-19 pandemic, the aggregate of M&A+I events in 2020 appears to be the sixth-highest total for the industry since 2001. [read post]
8 Jan 2021, 6:12 am by Scott Boucher (Vancouver)
While securities class actions will always remain a risk of accessing capital markets, the flurry of class actions is a reminder that given the new and complex regulatory hurdles in the cannabis industry, companies and their directors must take steps to prioritize regulatory compliance, establish strong quality controls, and carefully review any statements made to prospective shareholders. [read post]
8 Jan 2021, 6:12 am by Scott Boucher (Vancouver)
While securities class actions will always remain a risk of accessing capital markets, the flurry of class actions is a reminder that given the new and complex regulatory hurdles in the cannabis industry, companies and their directors must take steps to prioritize regulatory compliance, establish strong quality controls, and carefully review any statements made to prospective shareholders. [read post]
7 Jan 2021, 6:16 am by Sherin and Lodgen
STAG Industrial, Inc. is a real estate investment trust focused on the acquisition, ownership, and operation of single-tenant, industrial properties throughout the United States. [read post]
5 Jan 2021, 8:23 am by Silver Law Group
His previous employers included Spartan Capital Securities, LLC (CRD#:146251) of New York, NY, Aegis Capital Corp. [read post]
4 Jan 2021, 2:02 pm by Cynthia Marcotte Stamer
  As the effects of the COVID-19 pandemic began to be felt in the United States, the defendants used the COVID-19 pandemic as an opportunity to capitalize on a national emergency for their own financial gain by using the COVID-19 “emergency override” billing codes to submit fraudulent claims for Targretin Gel 1%, which has an average wholesale price of approximately $34,000 for each 60 gram tube. [read post]
4 Jan 2021, 1:29 pm by Matt Gluck, Tia Sewell
Army Corps of Engineers, Connie Duckworth, chairman & CEO at ARZU Inc. and Razia Jan, founder & CEO of Razia’s Ray of Hope Foundation, will join Ambassador Paula Dobriansky, senior fellow at Harvard University’s Belfer Center, to analyze the gains Afghan women have made and how women’s economic opportunity can help prevent fighting and promote stability in Afghanistan. [read post]
4 Jan 2021, 1:26 pm by Kevin LaCroix
  The 2020 federal court securities lawsuit filings hit companies in a wide variety of industries. [read post]
1 Jan 2021, 6:14 am by Rob Robinson
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements may not represent event completion, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and known event amounts. eDiscovery Mergers, Acquisitions, and Investments in Q4 2020 Based on an aggregate review of the abridged listing through the lens of Q4 2020, the following findings, data… [read post]
28 Dec 2020, 1:24 pm by Silver Law Group
(CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc. [read post]
28 Dec 2020, 9:39 am by Scott A. Coleman and James Kim
A commitment to maintain the capital and liquidity of the subsidiary industrial bank at such levels as the FDIC deems appropriate, and take such other actions as the FDIC deems appropriate to provide the subsidiary industrial bank with a resource for additional capital and liquidity including, for example, pledging assets, obtaining and maintaining a letter of credit from a third-party institution acceptable to the FDIC, and providing indemnification of the… [read post]
24 Dec 2020, 7:21 am by Kristian Soltes
According to the complaint, Ripple’s chairman, co-founder and former CEO Christian Larsen, and the company’s current CEO Bradley Garlinghouse, raised capital for the business through the sale of XRP in an unregistered securities offering. [read post]
23 Dec 2020, 6:01 am by Eleanor Runde, Abby Lemert
And recent reports indicate that Uighurs in the area have also been forced into labor in the cotton industry. [read post]