Search for: "Press Management, LLC"
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26 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. [read post]
25 Sep 2023, 12:27 pm
SEC charges DWS with Anti-Money Laundering Violations and ESG Misstatements According to a press announcement, the Securities and Exchange Commission (SEC) has recently taken action against DWS Investment Management Americas Inc. [read post]
25 Sep 2023, 9:03 am
According to the press release issued by W. [read post]
21 Sep 2023, 9:01 pm
WHAT WE’RE READING THIS WEEK In a forthcoming article in the Penn State Law Review, Eric Hess, Managing Counsel of Hess Legal Counsel LLC, argued that regulators and stakeholders should consider using a collaborative approach to regulating decentralized finance in place of a top-down approach. [read post]
19 Sep 2023, 8:47 am
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy former…Read the Full Press Release Have a securities law question? [read post]
18 Sep 2023, 8:00 am
”Look who’s most vulnerable now ….# # #EEOC PRESS RELEASE ~ 08-24-2023 [read post]
12 Sep 2023, 12:29 pm
On September 5, 2023, DOJ announced a $4 million settlement with Verizon Business Network Services LLC (Verizon) addressing allegations that Verizon violated the FCA because certain telecommunications services it provided to federal agencies under its General Services Administration (GSA) contracts did not comply with applicable cybersecurity requirements, namely the Office of Management and Budget’s Trusted Internet Connections (TIC) initiative. [read post]
12 Sep 2023, 10:22 am
The Securities and Exchange Commission today announced a settled action against New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet Management LLC (together, YieldStreet), for failing to disclose critical…Read the Full Press Release Have a securities law question? [read post]
12 Sep 2023, 7:20 am
Aequitas Management Fraud Scheme Raised $300 M from Unsuspecting Investors Three former executives of Aequitas Management, LLC, and related companies were sentenced to federal prison following their conviction for their roles in a far-reaching fraud conspiracy, according to a press announcement. [read post]
11 Sep 2023, 8:00 am
# # #EEOC PRESS RELEASE ~ 08.16.23 [read post]
7 Sep 2023, 3:45 pm
According to DOJ’s press release: Verizon Business Network Services LLC, of Ashburn, Virginia, has agreed to pay $4,091,317 to resolve False Claims Act allegations that it failed to completely satisfy certain cybersecurity controls in connection with an information technology service provided to federal agencies. [read post]
5 Sep 2023, 10:08 am
According to DOJ’s press release: Watermark Retirement Communities LLC, a senior living community operator based in Tucson, Arizona, that manages 79 retirement homes across the country, agreed to pay $4.25 million to resolve allegations that it violated the False Claims Act by soliciting and receiving a kickback from a nationwide home health agency (HHA) operator in order to facilitate referrals from Watermark retirement homes.The United States alleged that… [read post]
1 Sep 2023, 6:44 am
(CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. [read post]
31 Aug 2023, 8:00 am
# # #EEOC PRESS RELEASE ~ (08-02-2023) [read post]
30 Aug 2023, 5:03 am
Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, used this hypothetical performance in its advertisements. [read post]
28 Aug 2023, 9:01 pm
ENDNOTES 1 Press Release, U.S. [read post]
25 Aug 2023, 2:00 am
# # #USDOJ PRESS RELEASE ~ (08.03.23) [read post]
24 Aug 2023, 8:57 am
KBS Realty Advisors – Non-traded REIT Manager KBS and its affiliates manage seven non-traded real estate investment trusts (REITs). [read post]
22 Aug 2023, 7:37 am
According to DOJ’s press release: Imran Chishti, M.D. and his medical practice, C Care LLC, both of Chesterfield, Missouri; Shamim Justin Badiyan, M.D., of Frisco, Texas, and Psych Care Consultants LLC, of St. [read post]
22 Aug 2023, 7:23 am
As alleged in the complaint, Britton-Harr wholly owned and operated Provista Health, AMS Onsite Inc., Britton-Harr Enterprises Inc., Coastal Laboratories Inc. and Coastal Management Group Inc., and these companies – together with Britton-Harr – conspired to carry out these schemes. [read post]
