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31 Jul 2018, 2:29 pm
Capital Advisors, LLC (“SAC”). [read post]
31 Jul 2018, 2:29 pm
Capital Advisors, LLC (“SAC”). [read post]
31 Jul 2018, 12:16 pm
The post SEC Chairman Comments on Investing in Cryptocurrencies appeared first on Zamansky LLC. [read post]
31 Jul 2018, 10:40 am
Broadening the tax base could pay down substantial reforms to other taxes, as could the use of newfound authority to tax remote sales. [read post]
31 Jul 2018, 3:58 am
Forming corporations and LLCs is essentially a loss leader, made up for later with an onslaught of work typically needed once the company is up and running. [read post]
30 Jul 2018, 9:03 am
Unauthorized trading is often a gateway violation to other securities violations including churning, unsuitable investments, and excessive use of margin. [read post]
27 Jul 2018, 1:25 pm
(registered as a broker-dealer) Digital Wealth LLC (registered as an investment advisor) By acquiring companies with the proper licenses already in place, Coinbase may be able to speed up its plan to create an exchange-based trading platform for blockchain-based securities as a regulated broker-dealer. [read post]
26 Jul 2018, 11:41 am
The Securities and Exchange Commission (SEC) filed a complaint alleging that Oregon-based investment firm Aequitas Management, LLC (Aequitas Management) and its subsidiaries operated a Ponzi-like scheme that defrauded its 1,500 customers of approximately $350 million. [read post]
26 Jul 2018, 11:40 am
Unauthorized trading is a type of investment fraud because the Securities Exchange Commission (SEC) has found that disclosures of trades being made are essential and material to an investor. [read post]
23 Jul 2018, 1:02 pm
An Initial Coin Offering (ICO) is typically used as a fundraising tool that trades future cryptocoins in exchange for cryptocurrencies of immediate, liquid value (e.g. the Bitcoin/altcoin cryptocurrencies). [read post]
23 Jul 2018, 11:09 am
In addition, Eglow leveraged Exchange-Traded Funds (ETF) in long positions also resulted in losses to the customer. [read post]
23 Jul 2018, 11:09 am
In addition, Eglow leveraged Exchange-Traded Funds (ETF) in long positions also resulted in losses to the customer. [read post]
19 Jul 2018, 6:39 am
On June 25, 2018, Wells Fargo Advisors, LLC agreed to an Order settling charges brought by the Securities and Exchange Commission relating to Wells Fargo’s use of Market-Linked Investments (“MLIs”). [read post]
10 Jul 2018, 3:57 am
CFTC MATTERS Advisory The CFTC Issues Advisory on Virtual Currency Derivatives On May 21, 2018, the Commodity Futures Trading Commission (“CFTC”) issued key expectations for exchanges and clearinghouses regarding virtual currency derivative products. [read post]
5 Jul 2018, 7:00 am
In a 1031 tax-deferred exchange, a taxpayer sells investment property or property held for use in a trade or business, and a Qualified Intermediary holds sales proceeds to avoid constructive or actual receipt by the seller. [read post]
2 Jul 2018, 2:03 pm
Speak with an Investment Fraud Attorney at Zamansky, LLC At Zamansky, LLC, we are a team of experienced attorneys who exclusively represent individual investors in securities litigation and FINRA arbitration. [read post]
26 Jun 2018, 3:43 am
Copyright © 2007-2018 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
21 Jun 2018, 6:55 am
The firm had no surveillance procedures to determine if any of its representatives had potentially inappropriate rates of variable annuity exchanges. [read post]
20 Jun 2018, 5:51 am
Unauthorized trading is often a gateway violation to other securities violations including churning, unsuitable investments, and excessive use of margin. [read post]
11 Jun 2018, 2:44 am
Warehousing, trading and handling cryptocurrency allows for the exercise of “learning by doing,” always a preference for legal experts; and Lawyers can take advantage of the chance to demonstrate tangible support for a client’s enterprise. [read post]
