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2 Oct 2010, 11:53 am
Please email us if you would like us to add your event to this list. **** October 3-5 Sponsor: Opal Financial Group Event: Global Asset Allocation Summit Location: Las Vegas, NV October 3-5 Sponsor: Deal Flow Media Event: The Life Settlements Conference 2010 Location: Las Vegas, NV October 4-5 Sponsor: FIA Event: Equity Options Conference Location: New York, NY October 4-5 Sponsor: Corporate Counsel Event: 4th Annual Hedge Fund General Counsel Summit Location: New… [read post]
27 Mar 2013, 1:43 pm
The recent action by the Securities and Exchange Commission against the Intercontinental Regional Center Trust of Chicago, LLC, and its operator, Anshoo Sethi, have caused investors to question how many other EB-5 investments are being offered by unscrupulous operators making fraudulent statements in their offering documents and presentations. [read post]
25 Feb 2022, 8:19 am
According to the SEC’s complaint, from May 2019 to December 2019, Hoffman allegedly recommended investments in Zima Global Ventures, LLC, which purported to use investor funds to trade cryptocurrencies and other digital assets for profit. [read post]
30 Apr 2020, 2:15 pm
John, 597 F.3d 263 (5th Cir. 2010); Int’l Airport Ctrs., LLC v. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
21 Jul 2016, 1:53 pm
Gemini will allow you to set up an “institutional” trading account in the name of your LLC. [read post]
16 Nov 2011, 6:00 am
The Denver-based defendants have been charged with fraudulently soliciting over a million dollars from customers to trade foreign exchange (forex) in pooled and managed trading accounts via their proprietary trading system. [read post]
18 May 2019, 2:10 pm
You can also contact us online here. [read post]
14 Jul 2010, 8:37 am
Securities and Exchange Commission, was quoted as saying. [read post]
15 Jul 2016, 7:00 am
The Securities and Exchange Commission (SEC) has frequently said that an investment adviser’s fiduciary duty requires an adviser to plan for unexpected disruptions in business. [read post]
15 Jul 2016, 7:00 am
The Securities and Exchange Commission (SEC) has frequently said that an investment adviser’s fiduciary duty requires an adviser to plan for unexpected disruptions in business. [read post]
15 Jan 2016, 1:17 pm
Alerian launched the first MLP exchange traded fund, the Alerian MLP ETF, on August 25, 2010. [read post]
10 Sep 2021, 6:50 am
Using the Reves analysis, the loan, or note, is not being used to finance a substantial investment. [read post]
13 Nov 2014, 9:02 am
Tortoise Capital Advisors, LLC, 13-2267-DDC (D. [read post]
9 Apr 2009, 4:23 pm
The order enters findings of fact that Vitebsky and others participated in a scheme in which Vitebsky used A.S. [read post]
30 Dec 2013, 4:56 am
If appropriately disclosed, an investment adviser may use the soft dollar credits to pay for such expenses as brokerage and research services that benefit clients.An SEC investigation found that Instinet LLC approved soft dollar payments to San Diego-based investment advisory firm J.S. [read post]
5 Mar 2024, 5:40 am
Coffee, Jr., and Joshua Mitts that advocated using computing power to trace the purchase of shares. [read post]
3 Oct 2011, 6:08 am
The FBI, IRS-Criminal Investigations, and the Securities Exchange Commission investigated. [read post]
25 Oct 2022, 10:46 am
The allegations state that Ostern and Moonwalkers used a customized trading bot through Kane’s and Hydrogen Tech’s trading accounts to sell Hydro tokens. [read post]
17 Dec 2012, 6:51 am
In Chicagoland Aviation, LLC v. [read post]
