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9 Jan 2023, 10:06 am
Efrain Balderrama Trujillo (CRD# 3106482) is a previously registered broker and investment advisor whose last known employer was Western International Securities, Inc. [read post]
9 Jan 2023, 8:57 am
(CRD#:43177) of Middle Island, NY, Investec Ernst & Company (CRD#:266) of New York, NY, and Royce Investment Group, Inc. [read post]
5 Jan 2023, 2:22 pm
Specifically, the material within the filings failed to disclose that loan collateral was not originated in compliance with company guidelines, as well as a failure to assess borrowers’ credit worthiness. [read post]
30 Dec 2022, 7:14 am
FINRA routinely bars members who improperly take loans or otherwise takes money from customers. [read post]
21 Dec 2022, 7:37 am
Silver Star Properties Inc. | Recovery of Investment Losses According to the DI Wire today, Hartman Short term Properties XX, a non-traded REIT, has changed its name to Silver Star Properties REIT Inc. in an attempt at “maximizing shareholder value. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
9 Dec 2022, 7:04 am
” The scammer claimed they had been doing business with a company named HBS Systems Inc. in Richardson (which the attorney called and verified is a real company), that HBS had violated a copyright on some software, had admitted to this, and had settled on $2.9 million as a settlement. [read post]
2 Dec 2022, 1:17 pm
Investors in Hartman vREIT XXXI Inc., a publicly registered, non-traded real estate investment trust, may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
2 Dec 2022, 11:53 am
” The scammer claimed they had been doing business with a company named HBS Systems Inc. in Richardson (which the attorney called and verified is a real company), that HBS had violated a copyright on some software, had admitted to this, and had settled on $2.9 million as a settlement. [read post]
1 Dec 2022, 7:52 am
American Trust Investment Services, Inc. [read post]
17 Nov 2022, 1:23 pm
Lenders benefit from these restrictions by knowing the company will not use junk loans to engage in non approved activities or investments. [read post]
11 Nov 2022, 9:07 am
FINRA routinely bars members who improperly take loans or otherwise takes money from customers. [read post]
9 Nov 2022, 11:31 am
The fund invests at least 80% of total assists in securitized pools of senior secured loans and/or investing in senior secured loans in the primary or secondary markets, according to the prospectus. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Monday, October 31, 2022 Tags: Investment advisers, Investment Advisers Act, legal framework, regulation, SEC, SEC enforcement Lessons from Twitter v. [read post]
3 Nov 2022, 11:00 pm
4131/1962, which generally provides that an investor who is not a Brazilian resident may freely invest in any financial instrument or security available to an investor who is a Brazilian resident, establishing a regulatory environment to allow for such investment. [read post]
28 Oct 2022, 6:32 am
For example, it took the SEC over 30 years to review its disclosures regime for banks and savings and loan registrants.[7] Prescriptive Commission rulemaking may not be sufficiently nimble or effective with respect to these types of disclosures. [read post]
23 Oct 2022, 7:37 pm
See “Capital Data, Inc,” BizTimes, Sept 15, 2006. [read post]
10 Oct 2022, 5:11 am
Comment period closed on August 16, 2022.Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and Governance Investment Practices (Release Nos. 33-11068, 34- 94985, IA-6034, IC-34594; File No. [read post]
10 Oct 2022, 4:34 am
The Class B limited partner, an entity named Crabapple, Inc., was to serve as representative of the Class A foreign investors. [read post]
