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16 Apr 2015, 5:45 am
The exemption, available to Massachusetts-based corporations, LLPs, and LLCs, allows the issuers to: (1) offer both equity and debt securities on the Internet; and (2) raise up to $1 million if the issuer did not make available to the secretary of state and prospective investors its most recent fiscal year’s GAAP-prepared financial audit, or up to $2 million if the issuer did make available to the secretary of state and prospective investors its most recent fiscal… [read post]
2 Nov 2010, 10:38 am
One month earlier, Steve Bull, a former branch manager with 20 reps under him at Next Financial Group, joined Securities America. [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly represented that Kinetic Funds’ largest sub-fund invested solely in U.S. listed financial products and that at least 90% of its portfolio was hedged using the listed options. [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly represented that Kinetic Funds’ largest sub-fund invested solely in U.S. listed financial products and that at least 90% of its portfolio was hedged using the listed options. [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
9 Jul 2010, 10:03 am
The suit alleges that from the fall of 2001 through the spring of 2009, Wright, directly and through several sales agents, sold securities in the form of secured promissory notes issued by the Waterford Loan Fund, LLC, to approximately 175 investors in unregistered, non-exempt transactions, raising approximately $145 million. [read post]
28 Mar 2012, 7:33 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]
3 Jan 2020, 2:15 pm
A customer alleged that she was caused financial harm when Thomas “moved her funds out of the market into cash management without her knowledge or permission”. [read post]
2 Apr 2018, 5:00 am
Cboe’s letter was in response to a letter dated January 18, 2018 from Dahlia Blass, the director of the SEC’s Division of Investment Management, to the Investment Company Institute and the Securities Industry and Financial Markets Association. [read post]
12 Feb 2011, 4:21 pm
Credit Suisse Securities (USA) LLC (CS) broker Eric Butler is permanently barred from future violations of securities laws. [read post]
13 Nov 2019, 7:54 am
The post The Next Wave of Securities Fraud Lawsuits Will Involve Climate Change appeared first on Zamansky LLC. [read post]
27 Nov 2011, 12:18 pm
WK then used the funds to purchase securities through LPL. [read post]
2 May 2012, 6:14 am
Inverse ETFs, also called "short" funds, use various financial derivatives to profit from a decline in the value of an underlying index. [read post]
4 May 2021, 8:10 am
FINRA expelled Sandlapper Securities, LLC from the securities industry in June 2020. [read post]
27 Jul 2018, 7:54 am
From December 2009 until January 2011 Scholl was associated with LPL Financial LLC. [read post]
19 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
17 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
30 Nov 2020, 7:25 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Nicholas Palumbo (Palumbo) has been accused by his former employer, Park Avenue Securities LLC (Park Avenue), of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
24 May 2019, 5:37 am
The post Riot Blockchain Announces “Material Weaknesses” in Financial Reporting Controls and Says It “May Never Become Profitable” appeared first on Zamansky LLC. [read post]
3 Nov 2021, 8:07 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 Seattle, Washington. [read post]
