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23 Mar 2017, 6:41 am
This follows after the Securities and Exchange Commission began its investigation into United Development Fund IV in 2014 and after famed hedge fund manager Kyle Bass alleged that UDF was using new investor money to pay existing investors, therefore perpetuating a Ponzi-like scheme. [read post]
20 Mar 2017, 3:58 am
This follows after the Securities and Exchange Commission began its investigation into United Development Fund IV in 2014 and after famed hedge fund manager Kyle Bass alleged that UDF was using new investor money to pay existing investors, therefore perpetuating a Ponzi-like scheme. [read post]
6 Mar 2017, 4:26 pm
However, even foreign companies whose shares are not traded on U.S. exchanges remain vulnerable to potential liability under U.S. securities law after Morrison. [read post]
3 Mar 2017, 9:43 am
Neo@Ogilvy LLC. [read post]
3 Mar 2017, 9:43 am
Neo@Ogilvy LLC. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
2 Feb 2017, 7:59 am
Breton, through SCM, bought public companies’ securities using a block trading omnibus account known as a “Master Account. [read post]
29 Jan 2017, 12:40 pm
Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish, maintain, and enforce a reasonably-designed supervisory system and WSPs regarding the sales of leveraged, inverse and inverse-leveraged exchange-traded funds (non-traditional ETFs). [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 10:59 am
Plate converted $140,058 from her brokerage customer, and that this conduct violated FINRA Rules 2150 (Improper Use of Customers’ Securities or Funds) and 2010 (Standards of Commercial Honor and Principles of Trade). [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
27 Jan 2017, 9:11 am
Also, even if competitors don’t explicitly agree to limit or suppress compensation, the mere exchange of compensation information among employers may violate the antitrust laws if it has the effect of suppressing compensation. [read post]
27 Jan 2017, 8:33 am
The article looked at commercial contracts by publicly traded companies that were reported to the Security Exchange Commission using Form 8-Ks. [read post]
21 Jan 2017, 10:23 am
Many of the complaints involve leveraged and non-traditional exchange traded funds (ETFs) securities. [read post]
18 Jan 2017, 5:10 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
16 Jan 2017, 5:44 pm
Lexmark International, Inc., No. 15-1189 (unreasonable restraints on downstream uses) Briefing: Sandoz Inc. v. [read post]
16 Jan 2017, 8:24 am
,is a non-traded real estate investment trust that acquires and owns hotels in the United States. [read post]
4 Jan 2017, 3:55 pm
Trade Errors. [read post]
3 Jan 2017, 4:28 pm
The Dutch collective settlement procedures used in the March 2016 Fortis settlement, for instance, were only adopted in 2005. [read post]
31 Dec 2016, 12:05 am
—the owner of Tri-Union Seafoods LLC, doing business as Chicken of the Sea International—and Lion Capital LLP mutually agreed to terminate plans to acquire Bumble Bee Foods, LLC. [read post]
