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30 Oct 2013, 8:00 am
Jonathan Zang, another petitioner, worked for FMR, Co., Inc. and related parties, as a research analyst. [read post]
28 Oct 2013, 8:08 am
According to FINRA, Geiger recommended that the couple purchase a seven-year GWG Debenture by withdrawing cash in their IRA account and using other funds. [read post]
19 Oct 2013, 10:49 am
CAPCO is a mutual fund underwriter and is a subsidiary of Capstone Financial Services, Inc. [read post]
16 Oct 2013, 6:17 am
Sunset has its principal offices in Kansas City, Missouri and is wholly-owned by Kansas City Life Insurance Company, Inc., an insurance company. [read post]
10 Oct 2013, 7:11 am
In the complaint, FINRA alleges JCI engaged in: stock manipulation, unsuitable self-offerings of securities, operating a securities business without sufficient net capital, use of firm funds to pay the expenses of principal officers at JCI, providing false tax documents, and failing to pay payroll taxes. [read post]
9 Oct 2013, 7:06 am
In five situations, however, the bidder was an insider, situations which present particularly thorny principal/agent complications for investors. [read post]
9 Oct 2013, 6:45 am
Distributions from closed-end funds can at times be nothing more than a return of your own principal. [read post]
7 Oct 2013, 4:03 am
FaceCake Marketing Technologies, Inc., 2013 NY Slip Op 06433(1st Dept Oct. 3, 2013). [read post]
2 Oct 2013, 3:45 pm
These charges include stock manipulation, unsuitable self-offerings of securities, and use of Firm funds to pay personal expenses of Firm principals, among others. [read post]
1 Oct 2013, 5:44 am
Here’s a principal concern: An employee responsible for tweeting, or posting on Facebook, or providing information through another social media outlet, may not be a senior official or person who generally communicates with the company’s investors or market professionals. [read post]
30 Sep 2013, 6:08 am
Rev. 967, 995 (2006)).2Trados at 40-41.3Trados at 37-38 (citing In re Trados Inc. [read post]
30 Sep 2013, 5:08 am
Rev. 967, 995 (2006)).2Trados at 40-41.3Trados at 37-38 (citing In re Trados Inc. [read post]
29 Sep 2013, 6:11 pm
Gist resides in Atlanta, Georgia and is the president of Gist, Kennedy & Associates, Inc., (Gist Kennedy) a law firm specializing in estate planning and investments. [read post]
23 Sep 2013, 12:21 pm
The Financial Industry Regulatory Authority (FINRA), VSR Financial Services, Inc. [read post]
21 Sep 2013, 2:59 pm
That was the conclusion in Nova Scotia Court of Appeal in the recent case of APM Construction Services Inc. v. [read post]
19 Sep 2013, 4:46 pm
Research failed to maintain a WSPs that enforced adequate supervision regarding due diligence related to these hedge funds and funds of hedge funds. [read post]
19 Sep 2013, 12:35 pm
Cuevas worked as an analyst at a hedge fund in midtown Manhattan. [read post]
19 Sep 2013, 6:52 am
Sun Fund IV owned 70% of Scott Brass, Inc. [read post]
15 Sep 2013, 8:56 pm
According to the indictment, Wilson was president, owner, and director of Fountain Group, with its principal place of business in St. [read post]
12 Sep 2013, 8:09 am
A variable annuity, by contrast, works more like a mutual fund. [read post]
