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13 Aug 2021, 2:40 pm
Continue reading The post Former Worden Capital Management LLC Broker, John Cangialosi, Suspended by FINRA for Excessively Trading 3 Accounts appeared first on Securities Arbitration Lawyer Blog. [read post]
12 Aug 2021, 11:08 am
Earlier this year, FINRA has barred Christopher Orlando from the securities industry for excessively trading his customers’ accounts. [read post]
12 Aug 2021, 8:39 am
In a settled enforcement case announced August 9, 2021, the SEC fined Poloniex, LLC, a crypto trading platform, for operating an unregistered securities exchange. [read post]
11 Aug 2021, 4:03 pm
On November 9, 2020, the Post published an article about the selection of Michael Ellis as general counsel of the National Security Agency. [read post]
9 Aug 2021, 2:47 pm
Gig3’s sposnor is GigAcquisitions3 LLC. [read post]
9 Aug 2021, 12:27 pm
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that facilitated buying and selling of digital asset securities. [read post]
9 Aug 2021, 8:39 am
In February, the company’s stock was trading above $90 in the U.S. [read post]
9 Aug 2021, 5:50 am
The Securities and Exchange Commission today announced that Poloniex LLC has agreed to pay more than $10 million to settle charges for operating an unregistered online digital asset exchange in connection with its operation of a trading platform that…Read the Full Press ReleaseHave a securities law question? [read post]
6 Aug 2021, 8:40 am
For example, last month FINRA imposed its largest financial penalty ever against Robinhood Financial LLC, in part, for failing to exercise due diligence before approving investors for options trading in self-directed accounts. [read post]
6 Aug 2021, 6:00 am
Epstein (Third Creek Advisors LLC), Robert Lamm (Deloitte LLP), and Jim Parkin (Deloitte & Touche LLP), on Friday, July 30, 2021 Tags: Board composition, Board dynamics, Board oversight, Board performance, Boards of Directors, Small firms Five Elements of Activist Stewardship: Insights from Two Letters Posted by Robert G. [read post]
5 Aug 2021, 12:33 pm
” Robinhood has previously come under scrutiny for Tenev’s lack of FINRA registration, and took the public position that Tenev is the CEO of Robinhood Markets Inc., which is simply the holding company for the brokerage entity Robinhood Financial LLC. [read post]
5 Aug 2021, 8:09 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. [read post]
4 Aug 2021, 12:49 pm
When the attorney asked for more information on the nature of the dispute, they received an email from “Buvant Construction Group LLC” stating that the dispute was with “Fastenal Company, United States” concerning an unfulfilled order. [read post]
2 Aug 2021, 9:39 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. [read post]
2 Aug 2021, 8:51 am
SEC Charges Real Estate Executive With Defrauding Vestin REIT Investors According to the Securities and Exchange Commission on July 30, the regulator is charging an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
1 Aug 2021, 7:26 am
The complaint purports to be filed on behalf of a class of AdaptHealth investors who purchased the company securities between November 11, 2019 (the date the combined company’s shares began trading on NASDAQ) and July 16, 2021 (the last trading day before the publication of the short-seller’s report). [read post]
30 Jul 2021, 3:47 pm
These and other petitions of the week are below: Central Payment Co., LLC v. [read post]
30 Jul 2021, 8:06 am
Part of running a law practice like a business means recognizing that trade-offs always exist. [read post]
30 Jul 2021, 7:58 am
According to a draft copy of the deal reviewed by MarketWatch, the bill would require any person who regularly provides a service that executes transfers of digital assets to report those transactions to the IRS, like securities brokers must do for stock and bond trades today. [read post]
27 Jul 2021, 9:38 am
For more information on the firm’s investigation please see: Benefit Street Partners Realty Trust – Tender Offer BSP Realty Trust Investigating Potential Lawsuits Benefit Street Partners Realty Trust Investment Losses 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. [read post]
