Search for: "Walls Industries LLC"
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1 Feb 2024, 9:08 am
Masterworks and similar firms create fractional shares by purchasing individual pieces worth millions, transferring the ownership of the asset into an LLC, and then selling individual shares of the LLC through offering registered with the SEC. [read post]
18 Sep 2018, 2:26 pm
The stock market collapsed, with the Dow Jones Industrial Average eventually losing 54% of its value before hitting its low in March 2009. [read post]
7 Jun 2019, 11:12 am
Welcome to the fun world of regulation, compliance, and arbitration on Wall Street.FINRA Expels Crowdfunding Member and Bars its Chief Executive Officer. [read post]
7 Dec 2018, 5:25 am
In the Matter of Saving2Retire, LLC, and Marian P. [read post]
27 Jun 2020, 2:54 am
BREAKING NEWS: Seila Law LLC, Petitioner, v. [read post]
6 Oct 2017, 10:13 am
appeared first on Zamansky LLC. [read post]
21 Apr 2010, 7:41 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing institutional and individual investors in CDO litigation and arbitration all over the country. [read post]
9 May 2012, 10:00 pm
A recent Wall Street Journal article takes a look at the latest application of crowd-sourcing, this time within the patent industry. [read post]
9 May 2012, 10:00 pm
A recent Wall Street Journal article takes a look at the latest application of crowd-sourcing, this time within the patent industry. [read post]
26 Mar 2019, 1:20 pm
Who can investors trust when Wall Street fosters such clearly unethical behavior? [read post]
8 Mar 2016, 1:08 pm
On February 22, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) dismissing Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holding, LLC’s (collectively “Morgan Stanley”) promissory note claim against one of its registered representatives, Brandon Neal (“Neal”), and granting Neal’s counterclaims, finding that Morgan… [read post]
2 Jan 2016, 7:58 am
The fund’s withdrawal woes began to be reported in July 2015 by the Wall Street Journal reporting that the consultant, Cliffwater LLC recommended that its clients with about $800 million invested in Claren Road comprising at that time 14% of Claren Road’s total assets under management bale on the fund. [read post]
22 Nov 2010, 9:01 am
According to The Wall Street Journal’s story on Nov. 20, the feds have been conducting a three-year investigation into multiple insider trading rings that has uncovered “new ways non-public information is passed to traders through experts tied to specific industries or companies. [read post]
8 Feb 2010, 6:04 am
On January 11, 2010, the Financial Industry Regulatory Authority (FINRA), which is the so-called self-regulatory organization responsible for regulating brokerage firms’ sales practices, laid off five senior enforcement officials, according to a recent Wall Street Journal article by Suzanne Barlyn. [read post]
4 Aug 2010, 4:02 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered UBS AG to pay $80.8 million to a Maryland cellphone marketer for lost profits when its cash was frozen in auction-rate securities in early 2008, according to an August 4, 2010 Wall Street Journal article by Randall Smith, “UBS to Pay $80 Million in Auction-Rate Case. [read post]
28 Apr 2010, 3:26 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing institutional and individual investors that have sustained losses in CDOs and structured finance products.. [read post]
28 Apr 2016, 11:09 am
The merger, which was largely backed by Wall Street, established Pfizer’s global dominance in the pharmaceutical industry, and it was estimated that the acquisition would save the company $4 billion annually. [read post]
3 Jan 2017, 10:09 am
A securities-fraud case that triggered widespread changes to sales tactics on Wall Street is once again in the spotlight as a former Jefferies Group LLC bond trader goes back on trial Wednesday in New Haven, Conn, according to The Wall Street Journal on January 3. [read post]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
2 Oct 2016, 5:51 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Allegis Investment Services, LLC and its affiliated investment advisory firm Allegis Investment Advisors, LLC (Allegis) concerning unsuitable trading involving options. [read post]
