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24 Feb 2014, 2:24 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm PNC Investments LLC, (PNC) concerning allegations from January 2008, through June 2009, PNC failed to establish a supervisory system, including written procedures, reasonably designed to achieve compliance with the FINRA rules in connection with the sale of leveraged, inverse, and inverse leveraged Exchange-Traded Funds (Non-Traditional ETFs). [read post]
21 Feb 2014, 7:55 am
Gana LLP, a full-service nationally recognized securities litigation firm, is investigating Credit Suisse Securities (USA) LLC for underwriting and VLS Securities, LLC (VLS) for marketing the VelocityShares Daily 2x VIX Short Term Exchange Traded Notes (TVIX). [read post]
20 Feb 2014, 7:33 am
For companies with shares traded on a public exchange or securities registered with the U.S. [read post]
10 Feb 2014, 4:56 am
In furtherance of his scheme, Persaud formed and controlled the White Elephant Trading Company LLC. [read post]
5 Feb 2014, 8:44 am
This post is based on an excerpt from the Shareholder Director Exchange (SDX) Protocol, a framework to guide engagement between directors, which is sponsored by Cadwalader, Wickersham & Taft LLP, Teneo Holdings, LLC, Tapestry Networks, Inc. and the participating directors and investor representatives of the SDX™. [read post]
3 Feb 2014, 6:00 am
Call the attorneys at Sallah Astarita & Cox, LLC for a free telephone consultation - 212-509-6544.Related articlesShort Selling Stocks- Is it Ethical FSU Professors Charged In Short Selling Scheme [read post]
27 Jan 2014, 9:45 am
LeanSpa, LLC The FTC’s fourth settlement involves LeanSpa, LLC, and other related companies. [read post]
19 Jan 2014, 2:16 pm
Padrick, an expert on distressed businesses at a financial services firm called Obsidian Finance Group, LLC, was well qualified for the job. [read post]
15 Jan 2014, 2:24 pm
Private placements are not publicly traded investments. [read post]
15 Jan 2014, 8:22 am
The purpose of the symposium was to address the lack of use of Rule 502 by courts and litigants. [read post]
14 Jan 2014, 9:48 am
Beatport, LLC, No. 10-2912 (D. [read post]
30 Dec 2013, 4:56 am
If appropriately disclosed, an investment adviser may use the soft dollar credits to pay for such expenses as brokerage and research services that benefit clients.An SEC investigation found that Instinet LLC approved soft dollar payments to San Diego-based investment advisory firm J.S. [read post]
27 Dec 2013, 6:36 am
And let’s use this opportunity to check in on the SEC’s new Dodd-Frank whistleblower program. [read post]
26 Dec 2013, 3:31 am
According to the SEC's order, the ConvergEx brokerages involved in the scheme were G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC. [read post]
11 Dec 2013, 7:03 am
Morgan Securities LLC (J.P. [read post]
Read Carefully. The Insurance Coverage You Thought You Were Getting May Not Be The Coverage You Got.
26 Nov 2013, 10:39 am
The case 2-BT, LLC v. [read post]
24 Nov 2013, 6:03 am
Editor's Note: The following post comes to us from Peter C. [read post]
22 Nov 2013, 6:10 am
Konner disputed the court’s finding arguing that Carlson intended to use his JP Turner account for speculation and aggressive trading. [read post]
20 Nov 2013, 2:22 pm
The article reprinted below can be found here. **** Identity Theft Issues for Investment Advisers and Futures ParticipantsJennifer Dickinson, Sansome Strategies A little-known provision of the Dodd-Frank Act shifted responsibility over existing identity theft rules from the Federal Trade Commission to the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”). [read post]
20 Nov 2013, 8:30 am
The Securities and Exchange Commission (SEC) is an agency of the US Government that was created in accordance with the Securities Exchange Act of 1934. [read post]
