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5 Jan 2018, 8:04 am
Investigating Potential Claims involving Inland Land Appreciation Fund II Have you suffered investment losses in Inland Land Appreciation Fund II? [read post]
20 Mar 2015, 12:00 pm
Previous industry engagements include Chair of the policy committee of the California Hedge Fund Association and membership on the steering committee of the Association of Women in Alternative Investing. [read post]
20 Mar 2015, 12:00 pm
Previous industry engagements include Chair of the policy committee of the California Hedge Fund Association and membership on the steering committee of the Association of Women in Alternative Investing. [read post]
15 Jul 2013, 1:27 pm
Current funding is $4,669,627 and the House bill provides $4,790,000. [read post]
22 Jun 2011, 12:22 pm
Morgan Keegan marketed the Intermediate Fund as a relatively safe, investment-grade fixed income mutual fund investment when, in fact, the fund was exposed to risks associated with its investments in mortgage-backed and asset-backed securities, and subordinated tranches of structured products. [read post]
23 May 2016, 7:27 am
According to the FINRA regulatory action (FINRA No. 20150472061-01) Burtraw consented sanctions in the form of a permanent bar because he failed to provide documents and information requested by FINRA during the course their investigation into allegations that he borrowed funds from multiple customers. [read post]
7 Nov 2007, 11:04 am
The following legislative update was received from the Brain Injury Association of America. [read post]
20 Mar 2020, 9:38 pm
The AAU document provides, in part: . . . [read post]
19 Jan 2017, 8:48 am
Recovery Options Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
25 May 2018, 8:40 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
15 Mar 2017, 6:27 am
Canon 4C of the Code of Conduct for United States judges provides that a judge may not be a speaker or the guest of honor at “fund-raising” events. [read post]
7 Jun 2017, 6:33 pm
This ruling provides businesses facing class actions, including employers facing workplace class actions, a blueprint as to how to compel plaintiffs to identify stakeholders in class action lawsuits against their companies. [read post]
15 Oct 2021, 5:42 am
Panelists included Tamara Brightwell, associate director; Lisa Kohl, acting deputy director; Betsy Murphy, associate director; Michelle Anderson, associate director; and Michael Seaman, acting chief counsel.SPACs. [read post]
23 Apr 2010, 11:19 am
"It's appropriate to engage in a more thorough review of the use of derivatives by ETFs and mutual funds given the questions surrounding the risks associated with the derivative instruments underlying many funds," said SEC Chairman Mary Schapiro. [read post]
19 Sep 2023, 6:30 am
According to corporate records and a report from South Sudan’s auditor general, a company half-owned by a 9-month-old baby received a letter of credit — a bank’s guarantee that it will provide loaned funds for a purchase or other financial transaction — to import pharmaceutical products into South Sudan. [read post]
7 May 2018, 9:37 am
The Helms Amendment (first enacted in 1973) provides that no U.S. funds “may be used to pay for the performance of abortions as a method of family planning or to motivate or coerce any person to practice abortions. [read post]
20 Oct 2014, 3:02 pm
In late September we reported on the FCC’s request for comments about its proposed “TV Broadcaster Relocation Fund Reimbursement Form”. [read post]
26 Sep 2013, 3:12 am
An Associated Press article provides details. [read post]
7 Sep 2016, 9:10 am
Blizzard, Associate Director of the Division of Investment Management’s Rulemaking Office. [read post]
26 Dec 2010, 11:50 am
The site was built with state grant funding and focuses on the dangers of driving while texting. [read post]
