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13 Dec 2020, 10:00 pm
Financial markets and fund investment practices have changed substantially since the US Securities and Exchange Commission (SEC) last addressed fund valuation comprehensively 50 years ago. [read post]
3 Dec 2021, 1:29 pm
The post Securities Fraud Attorneys Highlights Stockbroker Elder Financial Abuse appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Mar 2010, 8:13 am
On March 11, 2010, Ezra Levy, former chief trader and Chief Financial Officer at Boston Provident Partners LP, a hedge fund company based in New York City, pleaded guilty to securities and wire fraud for stealing approximately $3 million from his former employer. [read post]
17 Jan 2024, 8:40 pm
The post Canada to stop funding foreign-affiliated research that threatens national security appeared first on JURIST - News. [read post]
6 Jul 2021, 2:12 pm
Swon misappropriated or mismanaged funds entrusted to him as an investment advisory representative of Focus Financial Network, Inc. [read post]
6 Jun 2013, 7:10 am
On Wednesday, the Securities and Exchange Commission proposed several reforms to money market funds. [read post]
6 Nov 2009, 4:29 am
The Securities and Exchange Commission on Thursday named Richard Bookstaber, a veteran hedge fund executive whose 2007 book predicted a financial crisis arising from financial derivatives, as a senior policy adviser. [read post]
9 Nov 2010, 8:10 am
The Securities and Exchange Commission has established a fund of over $450 million to pay whistleblowers whose information leads to the successful penalization or conviction of companies or individuals found guilty of securities fraud.The fund has been established in accordance with the Dodd-Frank financial overhaul bill enacted in July, which will also establish a new whistleblower office at the SEC.The fund is required to have a minimum of $300… [read post]
9 Jun 2022, 11:40 am
The SEC is seeking injunctions, disgorgement of ill-gotten gains with prejudgment interest and financial penalties against EIA and Middlebrooks. [read post]
31 Oct 2018, 2:00 am
These actions are further eroding financial security rather than helping it. [read post]
31 Oct 2018, 2:00 am
These actions are further eroding financial security rather than helping it. [read post]
6 Nov 2018, 10:38 am
In that latter case, the claimants are asking for almost $6M over the alleged misappropriation of their funds. [read post]
20 Nov 2019, 6:21 am
” The ScaleUp Group, a network of experienced tech entrepreneurs, was also an important partner in helping to secure the growth funding. [read post]
7 May 2012, 10:15 am
” The financial crisis witnessed numerous market failures involving an array of financial market intermediaries, including banks, broker dealers, and various kinds of investment funds (from money market mutual funds to hedge funds). [read post]
5 Sep 2017, 12:27 pm
The investment lawyers of Gana LLP are investigating allegations by the Securities and Exchange Commission (SEC) finding that LPL Financial LLC (LPL) advisor, Sonya D. [read post]
25 Jun 2016, 9:11 am
It projects that the future finances of the Social Security Disability Trust Fund will require additional funding to remain solvent.As of January 2016, 60 million Americans, or more that one in six, receive Social Security benefits. [read post]
24 Oct 2017, 10:16 am
Have you suffered losses investing in Reef 2010 Drilling Fund L.P. at the recommendation of your financial advisor? [read post]
12 Mar 2011, 11:17 am
Counterparties now consistently limit the amount of leverage used by hedge funds by requiring the use of collateral to secure financing to hedge funds. [read post]
21 Sep 2022, 6:03 am
Stoltmann Law Offices, a boutique securities, investment, and consumer fraud law firm in Chicago, has represented victims of fraud and Ponzi schemes since 2005, recovering tens of millions of dollars for out clients and restoring their financial security and freedom. [read post]
14 Jun 2021, 11:07 am
President Joe Biden’s Fiscal Year 2022 budget proposal calls for more than $14 billion in Social Security funding, which would be close to a 10 percent increase in funding for the agency. [read post]
