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15 Nov 2013, 11:00 am
See Goldman Sachs & Co., Inc., SEC No-Action Letter, avail. 6/20/13, http://www.sec.gov/divisions/investment/noaction/2013/goldman-sachs-062013-iarule204-3.htm. [read post]
20 Dec 2010, 1:48 pm
") AC31449 - Landmark Investment Group, LLC v. [read post]
20 Sep 2009, 11:53 am
"The Magnet® Method of Investing takes on the important issue of diversification, which has been oversold to Main Street. [read post]
30 May 2008, 4:25 pm
The attorneys at Carey & Danis are looking into claims that Scottrade, Stifel Nicolaus and Edward Jones violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 by deceiving investors about the investment characteristics of auction-rate securities and the auction market in which the securities are traded. [read post]
19 Mar 2011, 1:10 am
, Journal of Law, Information and Science, 20(1), 1-22 (2009-2010). [read post]
20 Oct 2019, 7:41 am
Morris, Barr Law Group, on Sunday, October 20, 2019 Editor's Note: Aaron T. [read post]
20 Feb 2024, 6:31 am
A key, yet often overlooked, feature of VC investments is that VC portfolios tend to include many startups in the same industry. [read post]
20 Feb 2024, 6:31 am
A key, yet often overlooked, feature of VC investments is that VC portfolios tend to include many startups in the same industry. [read post]
26 Mar 2014, 7:59 pm
It proposed using the mark in connection with “financial services, namely investment advisory services, management of investment funds, and fund investment services. [read post]
6 Sep 2012, 10:11 am
Each fraud count carries a maximum sentence of 20 years, while a count of money laundering carries a maximum sentence of 10 years. [read post]
29 Nov 2023, 9:33 am
The deadline for feedback to CP23/24 is 20 March 2024. [read post]
7 Dec 2010, 6:07 pm
Many of these schemes resulted in over $20 million in losses. [read post]
14 Nov 2014, 5:23 am
My father told me that I must invest a third of my savings in property, another third in equity and the remaining third in cash.This investment philosophy was pretty ubiquitous in the 1980s and explains why so many South Africans still firmly believe that property investments, especially residential investments, should form the foundation of investment strategies.However, the market has changed significantly over the past 20 years. [read post]
31 Oct 2017, 7:14 am
In the settlement, one of the LPL’s clients had a liquid net worth of $350,000, and bought $69,000 of non-traded REITs, or close to 20% of the client’s liquid assets. [read post]
15 Sep 2008, 1:16 pm
Additionally, REITs may be distinguished by the type of real estate they invest in. [read post]
9 Jun 2021, 8:45 pm
The RTS will apply 20 days after their publication in the Official Journal. [read post]
17 Jun 2011, 1:35 pm
According to multiple sources associated with the players or the operation, the athletes in question invested approximately $20 million total in a project now known as Center Stage, approximately 10 miles south of Dothan. [read post]
19 Jul 2010, 3:37 pm
Vol. 2, No. 20, July 19, 2010 The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
12 Jul 2018, 8:00 am
Update: Morgan Stanley Advisor Cornelius Peterson – Fraud Charges According to reports, Cornelius Peterson, 29, a former Morgan Stanley advisor, was sentenced to 20 months in prison on June 28 after he admitted that he misused client funds to invest in and support a wind farm project that a friend had decided to start. [read post]
21 Jul 2020, 9:49 am
Marshall Isaacson, Newbridge Securities, Barred from the Securities Industry FINRA Reportedly Bars Advisor Marshall Isaacson after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA) on July 20, the regulator has reportedly barred financial advisor Marshall Isaacson from the securities industry. [read post]
