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17 Dec 2023, 9:03 pm
Today [December 15], the Commission denied a Petition for Rulemaking[1] filed on behalf of Coinbase Global, Inc. [read post]
13 Dec 2023, 11:00 pm
Lightstone Value Plus REIT II, Inc. [read post]
12 Dec 2023, 9:05 pm
Further, these thresholds apply on a consolidated basis, meaning that the revenues, assets, and employee totals must be added up across an entire group. [read post]
7 Dec 2023, 2:06 pm
Todd Lesk And MJ Strucutured Annuities Settlements, Inc. [read post]
6 Dec 2023, 4:00 pm
HP Inc., et al., N.D. [read post]
1 Dec 2023, 10:14 am
Large asset managers, the current targets of this movement, are uniquely poised to slow or even stop it. [read post]
1 Dec 2023, 8:44 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
30 Nov 2023, 2:02 pm
FINRA BrokerCheck Report – Edward Mercer According to this FINRA BrokerCheck report, Edward Mercer was affiliated with the following firms during his career, among others:09/01/2022 – 11/08/2023, CAMBRIDGE INVESTMENT RESEARCH, INC. [read post]
30 Nov 2023, 1:58 pm
His previous employers include Sagepoint Financial, Inc. [read post]
30 Nov 2023, 9:55 am
See also: Kovack Securities Inc. [read post]
30 Nov 2023, 7:09 am
’s Office of Foreign Assets Control.As a result, the court determined that a nominal, unsecured bond in the amount of $10,000 would be sufficient. [read post]
27 Nov 2023, 7:44 am
(CRD# 29753) of Ponce, PR, Samuel A Ramirez & Co., Inc. [read post]
20 Nov 2023, 4:21 am
In Spiegler, the plaintiff alleged that the sole owner of the defendant corporation Mishelle Weinerman, offered to give plaintiff a 35% equity stake in Mish Mish, Inc. [read post]
15 Nov 2023, 6:26 am
The stand-alone enforcement actions spanned the securities industry, from billion-dollar frauds to emerging investor threats involving crypto asset securities and cybersecurity, and charged violations by diverse market participants, from public companies and investment firms to gatekeepers and social media influencers. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
14 Nov 2023, 9:01 pm
The stand-alone enforcement actions spanned the securities industry, from billion-dollar frauds to emerging investor threats involving crypto asset securities and cybersecurity, and charged violations by diverse market participants, from public companies and investment firms to gatekeepers and social media influencers. [read post]
13 Nov 2023, 9:05 pm
”[22] The Analytic Framework retains the non-exhaustive list of asset classes, institutions, and activities included in the proposal, but adds “private funds” to the list in response to “comments suggesting the addition of further examples. [read post]
13 Nov 2023, 5:05 am
Christie’s Fine Art Storage Services, Inc., a similar suit was brought against Christie’s in a New York state court by the property insurer for the estate of American artist LeRoy Neiman, whose art collection was damaged by Hurricane Sandy’s floodwaters .[13] Mirroring the AXA case, the New York state court’s final ruling, declared that in their contract with Christie’s Fine Art Storage Services, Neiman, had waived their insurers’ right to sue as a… [read post]
9 Nov 2023, 9:01 pm
Once again, I worked with Scott on enforcement recommendations from his group. [read post]
2 Nov 2023, 6:36 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
