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“Irreparable Harm” and Injunctions in Close Business Owner Disputes
11 Dec 2023, 4:54 am by Franklin C. McRoberts
Injunctions also require alacrity: courts generally only enjoin things threatened to happen in the imminent future – “an injunction may not issue to prohibit a fait accompli” (Kazantzis v Cascade Funding RM1 Acquisitions Grantor Tr., 217 AD3d 410 [1st Dept 2023]). [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Judicially Expelled Member Pays Heavy Price For Abandoning LLC
4 Dec 2023, 4:58 am by Peter Mahler
It also stated that there would need to be a management agreement whereby GF would charge ENGenuity a monthly fee for services, and that GF would lend ENGenuity $100,000 for “initial working capital” to be repaid over five years. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Broker Scott Matalon Barred From Industry After Failing To Provide FINRA Requested Documents
1 Dec 2023, 8:06 am by Silver Law Group
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
ArciTerra and Exec Charged with Fraud
1 Dec 2023, 1:16 am by The White Law Group
ArciTerra Note Fund I LLC ArciTerra Note Fund II LLC ArciTerra Note Fund III LLC ArciTerra Opportunity Fund I LLC Arciterra Strategic Income Corp ArciTerra Strategic Retail II, LLC ArciTerra Strategic Retail REIT, Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Mutual Fund Switching 
30 Nov 2023, 9:55 am by The White Law Group
Mutual fund transactions incur short-term or long-term capital gains tax. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
512(f) Doesn’t Restrict Competitive Gaming of Search Results–Source Capital v. Barrett Financial
30 Nov 2023, 6:41 am by Eric Goldman
Case Citation: Source Capital Funding Inc. v. [read post]
Technology & Marketing Law Blog - http://blog.ericgoldman.org/
Aegis Advisor Keith Curtis Barred by FINRA  
29 Nov 2023, 8:59 am by The White Law Group
Curtis reportedly refused to appear for on-the-record testimony in connection with FINRA’s investigation into his potential conversion of funds. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Broker Robert Silvestri Barred by FINRA 
29 Nov 2023, 7:29 am by The White Law Group
Silvestri did in fact borrow funds from a client without the Firm’s knowledge, consent or approval. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FCA censures NMC Health Plc for market manipulation
28 Nov 2023, 6:51 am by Katie Stephen (UK) and Catherine Pluck (UK)
In December 2019, investment research company Muddy Waters Capital LLC published a number of allegations querying the accuracy of NMC’s financial reporting. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Scott Silver, Esq. Highlights Risk Of FINRA’s After The Fact Fines
21 Nov 2023, 2:26 pm by Silver Law Group
Instead, they saw their investment funds frozen. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Goodwin Procter Discusses Yet Another Two Decisions in Bernie Madoff Case
20 Nov 2023, 9:01 pm by renholding
” 18 Specifically, the relevant act could have been (a) the receipt of funds by PIFSS, (b) its redemption request and receipt of funds, or (3) the entire relationship,including subscription and investment. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Releases Year-End Results For 2023, Including Record Amount Paid To SEC Whistleblowers
16 Nov 2023, 9:04 am by Silver Law Group
In the process the SEC seeks to freeze assets to prevent losses of funds that are later returned to investors. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
Funding for Native healthcare programs, and the Armed Career Criminal Act returns
15 Nov 2023, 1:28 pm by John Elwood
Is the tribe entitled to only enough to cover the IHS-funded activities? [read post]
SCOTUSblog - http://www.scotusblog.com/
SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards
15 Nov 2023, 6:26 am by jeffreynewmanadmin
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Matrix Capital Markets Group helps sale of Day Motor Sports
15 Nov 2023, 5:55 am by Daily Record Staff
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
On the Record - http://thedailyrecord.com/ontherecord/
SEC Announces Enforcement Results for Fiscal Year 2023
14 Nov 2023, 9:01 pm by renholding
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Robert Marquez, Investment Network, Barred by FINRA 
10 Nov 2023, 7:44 am by The White Law Group
Companies often use pre-IPO private placements to raise additional capital to fund their operations, expansion, or other business activities. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Commissioner Speaks on Using Enforcement Actions to Set Regulatory Policy
9 Nov 2023, 9:01 pm by renholding
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Brian Wurdemann Barred By FINRA Following Two Arbitration Actions
9 Nov 2023, 6:29 am by Silver Law Group
Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/