Search for: "Capital Accounts LLC" Results 81 - 100 of 2,754
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
Broker Scott Matalon Barred From Industry After Failing To Provide FINRA Requested Documents
1 Dec 2023, 8:06 am by Silver Law Group
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
ArciTerra and Exec Charged with Fraud
1 Dec 2023, 1:16 am by The White Law Group
The SEC is also charging the executive and Cole Capital Funds LLC, an entity he formed and controlled, with issuing a false press release in November 2023 stating that Cole Capital intended to purchase 51% of all minority ownership shares in WeWork Inc. at $9 a share, more than nine times WeWork’s then-current trading price. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Bars Broker Randall Skrabonja
30 Nov 2023, 1:58 pm by Silver Law Group
Randall Skrabonja (Randall George Skrabonja CRD# 1858245) is a previously registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD# 293630) of Winter Park, FL. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Mutual Fund Switching 
30 Nov 2023, 9:55 am by The White Law Group
Mutual fund transactions incur short-term or long-term capital gains tax. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Case Law: Davidoff v Google LLC, A comprehensive restatement of the principles governing Norwich Pharmacal Applications – Hugh Tomlinson KC
30 Nov 2023, 7:38 am by INFORRM
Each email account was registered with the defendant’s Gmail platform. [read post]
Inforrm's Blog - https://inforrm.wordpress.com/
512(f) Doesn’t Restrict Competitive Gaming of Search Results–Source Capital v. Barrett Financial
30 Nov 2023, 6:41 am by Eric Goldman
Barrett Financial Group, LLC, 2023 WL 7552330 (D. [read post]
Technology & Marketing Law Blog - http://blog.ericgoldman.org/
Aegis Advisor Keith Curtis Barred by FINRA  
29 Nov 2023, 8:59 am by The White Law Group
(CRD#:15007), TAMPA, FL,  B, 03/16/2010 – 06/17/2015, JHS CAPITAL ADVISORS, LLC (CRD#:112097), SARASOTA, FL B, 06/13/2008 – 03/23/2010, GUNNALLEN FINANCIAL, INC (CRD#:17609), SARASOTA, FL    The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Hector Hernandez Barred by FINRA 
28 Nov 2023, 10:19 am by The White Law Group
Properties LLC). [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FCA censures NMC Health Plc for market manipulation
28 Nov 2023, 6:51 am by Katie Stephen (UK) and Catherine Pluck (UK)
In December 2019, investment research company Muddy Waters Capital LLC published a number of allegations querying the accuracy of NMC’s financial reporting. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Medicare Advantage Fraud Charges Filed Against HealthSun Executive
27 Nov 2023, 11:59 am by Kelly Shivery
More companies need to own up to fraudulent conduct and, if they do not, whistleblowers need to hold them to account. [read post]
Whistleblower Blog and News - https://www.whistleblowerllc.com/blog-news/
Christopher Kennedy Allegedly Churned Customers Accounts
27 Nov 2023, 8:22 am by The White Law Group
(CRD#:39262), Woodland Hills, CA,  B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Scott Silver, Esq. Highlights Risk Of FINRA’s After The Fact Fines
21 Nov 2023, 2:26 pm by Silver Law Group
His last listed employer is Supreme Alliance, LLC, (CRD# 45348) of Charlotte, NC, and he was registered there until 1/6/2022. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Goodwin Procter Discusses Yet Another Two Decisions in Bernie Madoff Case
20 Nov 2023, 9:01 pm by renholding
” 28 On the second issue, the defendants attacked the claims on the basis that the claims were protected from clawback under the Bankruptcy Code’s “safe harbor”provision in section 546(e). 29 According to the defendants, the Bankruptcy Code’s safe harbor provision, intended to provide stability to the capital markets and to protect capital market transactions from being undone by Bankruptcy Code avoidance provisions, insulated the relevant transfers.30… [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Releases Year-End Results For 2023, Including Record Amount Paid To SEC Whistleblowers
16 Nov 2023, 9:04 am by Silver Law Group
Individuals who violated US securities laws led to charges that accounted for two-thirds of the SEC’s cases. [read post]
SEC Whistleblower Lawyer Blog - http://www.secwhistleblowerlawyers.net/
SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards
15 Nov 2023, 6:26 am by jeffreynewmanadmin
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC Announces Enforcement Results for Fiscal Year 2023
14 Nov 2023, 9:01 pm by renholding
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Charges Middlesex Mortgage Group and Masanotti with Running $5.9 Million Ponzi Scheme The U.S. Securities and Exchange Commission (“SEC”) has alleged that unregistered investment adviser John A. Masanotti, Jr. (“Masanotti” of Darien, Connecticut and his company, Middlesex Mortgage Group LLC (“MMG”), with fraud in connection with investments that MMC induced from outside investors, totaling least $5.9 million, beginning in 2016. Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. The SEC Complaint is accessible here. According to the SEC. MMC and Masanotti allegedly used investor money to make Ponzi-like payments to investors and also used some investor funds for Masanotti’s “extravagant personal expenses,” According to the SEC, Masanotti told investors that MMC would invest their money in foreign currencies, securities and initial public offerings, but in fact MMC appears to have made no investments on their behalf. After receiving their initial payments, Masanotti continued to deceive investors to perpetuate the investment scheme, including via payments that purported to be returns on capital invested, the SEC said. Over the course of the scheme, Masanotti allegedly used more than $3 million of Middlesex’s assets for his and his family’s personal benefit, according to the suit. The SEC accuses Masanotti of violating the Securities Act and the Exchange Act. A Ponzi scheme is a purported investment vehicle in which early investors in the scheme are paid funds from later investors, thus creating the illusion of legitimacy and solvency. Ponzi schemes are often doomed to failure once the perpetrator of the scheme can no longer pay out investors through newly raised money. Some warning signs that every investor should remain mindful of when vetting a potential investment and conducting due diligence include the promise of high returns with guarantees of little or no risk; overly consistent returns with little or no volatility in the in
14 Nov 2023, 4:30 pm by InvestorLawyers
Many of the MMG investors allegedly liquidated securities they held in retirement accounts to invest in the fund. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
New York LLC Caselaw’s Greatest Hits
13 Nov 2023, 4:07 am by Peter Mahler
My co-panelists Chris Mercer (Mercer Capital) and William Savino (Woods Oviatt Gilman LLP) respectively spoke about the marketability discount in fair value appraisal proceedings and caselaw developments concerning closely held business corporations. [read post]
New York Business Divorce - http://www.nybusinessdivorce.com/
Fastest Growing Independent Broker-Dealers
12 Nov 2023, 9:23 pm by D. Daxton White
  This is because the vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
The Sole Proprietorship: Pros and Cons
10 Nov 2023, 9:44 pm by Cari Rincker
The courts could seize a sole proprietor’s home, car, bank accounts, and other belongings to satisfy a liability of the business. [read post]
Food, Farm & Family Law Blog - https://rinckerlaw.com/blog