Search for: "International Assets Advisory, LLC"
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3 Aug 2018, 6:49 am
The securities attorneys at Gana Weinstein LLP are currently investigating former International Assets Advisory, LLC (International Assets) broker Frank Cuenca. [read post]
10 Jul 2018, 3:57 am
Colorado Division of Securities Participates in Coordinated International Crypto Crackdown On May 3, 2018, the Colorado Securities Commission announced that it signed orders requiring Linda Healthcare Corporation and Broad Investments, LLC to cease and desist from selling securities in the state. [read post]
15 May 2018, 12:30 pm
Borland Capital Group Owner Faces Investor Fraud Charges Brent Borland, the owner of Borland Capital Group, LLC, is facing SEC charges accusing him of misappropriating nearly $6M in investor money that was supposed to go toward building an international airport in Belize. [read post]
11 May 2018, 7:22 am
But he wasn’t paying these investors by trading in international reply coupons. [read post]
16 Apr 2018, 4:48 pm
., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
10 Apr 2018, 6:30 am
All rights reserved under International Copyright Law. [read post]
6 Apr 2018, 6:08 am
Fontaine, Corporate Risk Holdings LLC, and John Reed Stark, John Reed Stark Consulting LLC, on Saturday, March 31, 2018 Tags: Boards of Directors, Cybersecurity, Disclosure, Financial reporting, Risk, Risk management, Risk oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation Do Director Networks Improve Managerial Learning from Stock Prices? [read post]
3 Feb 2018, 12:00 am
Then we’ll go into some of the asset protection techniques. [read post]
21 Dec 2017, 6:00 am
IA-4418 (June 10, 2016)(notice) and IA-4444 (July 6, 2016) ( order); Brown Advisory LLC, Investment Advisers Act Release Nos. [read post]
12 Dec 2017, 4:36 pm
Specifically, the SEC announced it obtained an emergency asset freeze to halt a fast-moving ICO fraud that raised up to $15 million from thousands of investors by falsely promising a 13-fold profit in less than a month. [read post]
14 Nov 2017, 3:27 am
John Reed Stark As I noted in a recent post (here), the business pages these days are full of headlines about Initial Coin Offerings (ICOs). [read post]
30 Oct 2017, 7:23 am
FINRA also found that Likens misled International Assets Advisory, LLC when he submitted a compliance questionnaire in which he denied engaging in any loan transactions. [read post]
5 Oct 2017, 5:20 pm
Upon closing of the securitization transaction the First Marblehead Corp. would then skim off more than 8% as its “structural advisory fee”.This was possible because the Trusts formed by FMC through the Funding LLC as depositor sold securities far in excess of the value of the pooled loans to be acquired with the proceeds. [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
19 Aug 2017, 6:45 am
Sutherland is a Member of the Advisory Board at Ethics Metrics LLC. [read post]
10 Aug 2017, 9:32 am
” According to his FINRA BrokerCheck report, he then was registered with International Assets Advisory from March 2016 until August 29, 2016. [read post]
19 Jul 2017, 2:44 am
Matthew Andresen, CEO of Headlands Technologies LLC, focused his remarks on suggested improvements to the municipal bond market. [read post]
12 Jul 2017, 12:02 pm
According to BrokerCheck records Michael Spolar (Spolar), now associated with International Assets Advisory, LLC (IAA), has been sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that Spolar exercised discretion in customers’ accounts that were non-discretionary accounts. [read post]
16 Jun 2017, 1:36 pm
International Assets Advisory LLC was named as a broker dealer that employs a large percentage of registered reps with publicly disclosable incidents. [read post]
14 Jun 2017, 7:52 am
(Ferra) who was previously registered with International Assets Advisory, LLC working out of the Tampa, Florida office. [read post]
