Search for: "Transaction Secure, LLC"
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16 Dec 2011, 6:04 am
FINRA fined Wells Fargo Investments, LLC, $2 million for unsuitable sales of reverse convertible securities through one broker to 21 customers, and for failing to provide sales charge discounts on Unit Investment Trust (UIT) transactions to eligible customers. [read post]
23 Nov 2020, 10:00 am
FINRA alleged that between June 2017 and November 2017, Micah Patterson participated in private securities transactions totaling $30,644 without prior disclosure and approval from his employer at the time, MML Investors Services, LLC. [read post]
17 Nov 2020, 10:26 am
FINRA alleged that between October 1, 2016, and May 9, 2017, John Westbrook participated in private securities transactions totaling $350,335, without prior disclosure and approval from his employer at the time, Center Street Securities, Inc. [read post]
17 Nov 2020, 1:10 pm
Baily solicited investors to purchase $210,000 in securities of Future Income Payments, LLC. [read post]
18 Nov 2020, 1:56 pm
Phillips solicited eight investors to purchase $876,363 in securities of Future Income Payments, LLC. [read post]
19 Sep 2013, 9:20 am
September 18, 2013 The Securities and Exchange Commission (SEC) charged Shadron Stastney, a partner at a New York based hedge fund, Vicis Capital, LLC with breaching his fiduciary duties by engaging in undisclosed principal transactions in which he had a personal financial interest. [read post]
31 Oct 2016, 7:46 am
At this time it is unclear the nature and scope of Kuhlow’s private securities transactions. [read post]
30 Jun 2012, 7:28 am
I have also blogged previously about whether poker-staking constitutes a securities transaction. [read post]
15 Jul 2013, 10:35 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 Boca Raton, Florida. [read post]
18 Dec 2020, 5:07 pm
Tavel recommending private securities transactions to three investors. [read post]
31 May 2017, 6:07 am
According to the firm’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated that Russell was in “Violation of Firm policy regarding private securities transactions. [read post]
5 Aug 2015, 2:06 pm
Diehl has no customer disputes, but he was previously discharged from MML Investors Services, LLC in 2013 over alleged involvement in EIA sales when the firm did not permit such transactions. [read post]
15 Oct 2017, 10:55 am
The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
17 Nov 2020, 12:30 pm
Dehn Ristvedt solicited two investors to purchase $163,320 in securities of Future Income Payments, LLC. [read post]
12 Apr 2017, 2:00 pm
© 2017 Vandenack Weaver LLC For more information, Contact Us [read post]
8 Nov 2017, 7:23 am
The post Atel 16 LLC Securities Investigation – Illiquid Investment appeared first on White Securities Law. [read post]
When does a deal involve securities regulation? Part 3: Partnerships and Limited Liability Companies
13 Apr 2012, 4:25 pm
This post is the third in a series exploring when securities laws impact business transactions. [read post]
23 Nov 2020, 10:04 am
FINRA alleged that between March 2016 and April 2016, Neemit Shah participated in private securities transactions totaling $408,000, without prior disclosure and approval from his employer at the time, MML Investors Services, LLC. [read post]
4 Jun 2021, 7:31 am
Palumbo was associated with Park Avenue Securities LLC from May 1999 until he was “permitted to resign” in May 2020 over allegations that he engaged in undisclosed private securities transactions. [read post]
3 Sep 2014, 4:59 pm
Past estate planning clients have asked me to participate in business ventures or real estate deals (I have a real estate LLC). [read post]
