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Claimants Awarded More Than $1.5 Million Against Stifel in Failure-to-Supervise Arbitration
8 Oct 2019, 1:02 pm by Dan Miller
“The concentration risk and asset allocation defects associated with this investment strategy should have been ongoing ‘red flags’,” attorney Daniel J. [read post]
The Law Offices of Daniel J. Miller, LLC - https://www.brokerfraudlawyers.com/
Partnership Interests = Investment Contracts = Securities: Eleventh Circuit
4 Apr 2007, 8:50 am
J. [read post]
Blawgletter - http://blawgletter.typepad.com/bbarnett/
Another Former Credit Suisse Adviser Represented by Lax & Neville LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations
9 Feb 2023, 11:21 am by Lax & Neville LLP
Lax, Brian J. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
Four More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations
24 Apr 2023, 5:58 am by Lax & Neville LLP
Lax, Brian J. [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
SEC Accuses Michigan Broker of Misappropriating $300,000
22 Aug 2012, 11:15 am by JEccleston@ecclestonlaw.com (James J. Eccleston)
If you are an investor that has suffered losses investing with Lewis J. [read post]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/
FINRA Fines H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC for Failing to Supervise Consolidated Reports
17 Apr 2015, 10:35 am by Adam Nicolazzo
Securities, LLC, and J.P. [read post]
New York Securities Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
Seven Deadly Fallacies of Activist Investing’s Critics
29 Jun 2016, 6:05 am
Posted by Charles Nathan, Finsbury LLC, on Wednesday, June 29, 2016 Editor's Note: Charles Nathan is a senior advisor at Finsbury LLC, and an adjunct professor at Yale Law School and Columbia Law School. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
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
Investors with questions about claims about non-conventional investments or concerns that they may have invested in a fraudulent scheme may contact Law Office of Christopher J. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Bed Bath & Beyond Law Suit
25 Feb 2020, 2:35 pm by Dan Miller
Miller, LLC is currently investigating claims for investors of BBBY regarding investment losses and possible fraud. [read post]
The Law Offices of Daniel J. Miller, LLC - https://www.brokerfraudlawyers.com/
DC Circuit Court Sustains SEC Orders Against Thaddeus North
23 Oct 2020, 3:31 am
Thaddeus J. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Credit Suisse First Boston LLC, et al. v. Billing, et al. - Supreme Court Sides with Investment Banks in Antitrust Suit over IPO Practices | Morrison & Foerster
20 Jun 2007, 2:02 pm
Miller, David J. [read post]
Information Governance Engagement Area - http://infogovernance.blogspot.com/
New Issue: ICSID Review: Foreign Investment Law Journal
28 Apr 2013, 9:37 pm
García-Bolívar, Railroad Development Corporation v Republic of Guatemala: The First CAFTA Award on the Merits J. [read post]
International Law Reporter - http://ilreports.blogspot.com/
FINRA Hearing Panel Dismisses Private Offering Case
9 Oct 2015, 10:37 am
MSC-BD LLC and Paul J. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Investors Bet On Rival Bear Bids
22 Mar 2008, 7:22 am
If the offer goes through, Bear's shareholders will incur huge losses on the value of their investments. [read post]
Investment Fraud Lawyer Blog - http://www.investmentfraudlawyerblog.com/
JP Morgan Securities LLC Financial Advisor and Broker Michael Oppenheim Charged with $20 Million Fraud by SEC
21 Apr 2015, 12:56 pm by Adam Nicolazzo
The Securities and Exchange Commission (SEC) announced on April 16, 2015 that it filed a complaint in the United States District Court for the Southern District of New York alleging that Michael J. [read post]
New York Securities Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
John Randall “JR” Gladden Accused of Selling Church Fund Loans Away from Brokerage Firm
22 Feb 2016, 7:04 am by Adam Weinstein
The investment attorneys of Gana LLP are investigating a regulatory complaint filed (Disciplinary Proceedings No. 2014038996201) by The Financial Industry Regulatory Authority’s (FINRA) against broker J. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
California And Vice Chancellor Laster Are 180˚  Apart On The "Circle Of Confidentiality"
27 Apr 2023, 12:15 am
Mar. 9, 2023), Vice Chancellor J. [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
Base Allegations Do Not Warrant Veil Piercing
13 Jan 2012, 2:53 am by R. David Donoghue
June 20, 2011) (Coleman, J.). [read post]
Chicago IP Litigation Blog - http://www.chicagoiplitigation.com/
Base Allegations Do Not Warrant Veil Piercing
13 Jan 2012, 2:53 am by R. David Donoghue
June 20, 2011) (Coleman, J.). [read post]
Chicago IP Litigation Blog - http://www.chicagoiplitigation.com/
Gana LLP Files $3.7 Million FINRA Arbitration Complaint on Behalf of Investors In Connection with Paul Godlewski’s Investment Scheme
6 Oct 2015, 7:08 am by Adam Weinstein
Gana, Esq., or Adam J. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/