Search for: "Transaction Secure, LLC"
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22 Oct 2020, 5:07 am
Former broker Lonna Ristvedt, former Investment Company and Variable Contracts Product Representative from Fargo, North Dakota, allegedly engaged in undisclosed and unapproved private securities transactions by soliciting investors to purchase investments through a Ponzi scheme known as Future Income Payments, LLC. [read post]
22 Oct 2020, 5:07 am
Former broker Lonna Ristvedt, former Investment Company and Variable Contracts Product Representative from Fargo, North Dakota, allegedly engaged in undisclosed and unapproved private securities transactions by soliciting investors to purchase investments through a Ponzi scheme known as Future Income Payments, LLC. [read post]
15 Jun 2010, 6:16 pm
On June 10, 2010, the IMH Defendants further announced that they were voluntarily dismissing the action entitled, IMH Secured Loan Fund, LLC v. [read post]
15 Jun 2010, 5:16 pm
On June 10, 2010, the IMH Defendants further announced that they were voluntarily dismissing the action entitled, IMH Secured Loan Fund, LLC v. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
After Allegations Of Engaging In A Private Securities Transaction appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Jun 2024, 3:38 pm
July 2016 – FINRA reportedly barred two Triad brokers in Ohio for private securities transactions. [read post]
16 Mar 2010, 4:23 pm
Through two of the entities Zehil controlled; Strong Branch Ventures IV LP and Chestnut Capital Partners II, LLC, Zehil personally invested in the issuers’ PIPE transactions. [read post]
7 Aug 2017, 9:30 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 Vero Beach, Florida. [read post]
8 Oct 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and suspended for two year broker Walter Chao (Chao) (FINRA No. 2012034046301) alleging that between February and May 2012, while registered with LPL Financial LLC (LPL Financial), Chao participated in nine private securities transactions totaling $1.27 million without LPL’s approval. [read post]
22 Oct 2015, 6:38 pm
Assuming that the other requirements under Code Section 409(l) are satisfied (shares must have the highest voting and liquidation rights or be convertible into shares with the highest voting and liquidation rights), the units would be considered qualified employer securities for the purpose of the ESOP rules.Previously ESOP practitioners believed that in order for owners of an LLC to consider an ESOP as an ownership succession strategy, the LLC would need to… [read post]
14 Oct 2019, 11:57 am
At this time it is unclear what business activities and the private securities transactions refer to. [read post]
4 Aug 2014, 6:26 am
Nevin entered the securities industry in 1994 and is currently a representative of Capital Guardian, LLC. [read post]
15 Oct 2021, 7:28 am
Allegations of Fraudulent Transactions and Ponzi-Like Payments Against Philip R. [read post]
14 Mar 2022, 11:57 am
Blade Strategies, LLC, B-416752 (Comp. [read post]
10 Jul 2017, 6:56 am
The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
5 Jun 2023, 10:13 am
The White Law Group reviews the regulatory history of Park Avenue Securities LLC. [read post]
10 Mar 2021, 4:53 pm
Dalal was associated with Kestra Investment Services from June 2016 until he was discharged in February 2020 over allegations that he engaged in undisclosed private securities transactions and outside business activity. [read post]
5 Mar 2012, 7:17 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]
21 Apr 2015, 12:56 pm
Oppenheim’s clients’ accounts from March 2011 through October 2014, which, if true, would have been while he was licensed by JP Morgan Securities LLC to recommend securities transactions to public investors. [read post]
22 Dec 2009, 5:30 am
Banc of America Securities LLC (In re Short Sale Antitrust Litigation), 2009 WL 4350035 (2d Cir. [read post]
