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29 Oct 2014, 10:11 am
On October 29, 2014, the Securities and Exchange Commission (“SEC”) announced an administrative enforcement action against an investment advisory firm and three top officials for violating rule 206(4)-2 under the Investment Advisers Act of 1940 (“Advisers Act”), the “custody rule,” that requires firms to follow certain procedures when they control or have (or are deemed to have) access to client money or securities. [read post]
17 Dec 2018, 8:18 am
Blockvest LLC et al., case number 3:18-cv-02287, denied the SEC’s Motion for Preliminary Injunction to enjoin Blockvest’s ICO on the SEC’s claim that Blockvest’s pre-ICO capital raising was a securities law violation. [read post]
9 Sep 2016, 10:53 am
Rafal was an acclaimed advisor and ranked 6th in Barron’s 2015 Top 100 Independent Financial Advisors poll.Mr. [read post]
26 Aug 2016, 1:57 pm
Bennett inflated assets and used these inflated assets in order to qualify for the Barron’s list of top advisers. [read post]
30 Dec 2011, 6:00 am
The Top 5 most-viewed legal affairs stories online of 2011 are as follows: 1. [read post]
22 May 2019, 9:02 am
The US Securities and Exchange Commission (SEC) has filed civil charges against Charles Nilosek for acting as an unregistered broker and illegally selling Woodbridge securities to retail investors. [read post]
4 May 2009, 3:29 am
Warren Buffet, who according to Forbes tops the list of men ... [read post]
11 May 2009, 5:19 am
Warren Buffet, who according to Forbes tops the list of men ... [read post]
15 Feb 2009, 6:51 am
Warren Buffet, who according to Forbes tops the list of men ... [read post]
6 Aug 2010, 12:12 pm
• Foreign Exchange Trading Schemes. [read post]
4 Jan 2023, 8:44 am
” Celebrity Endorsements And Clients Prior to the company’s bankruptcy on November 11, 2022, along with Alameda and 100 other affiliated entities, FTX was considered a top-flight cryptocurrency exchange. [read post]
1 Nov 2017, 7:29 am
Buck was Merrill Lynch’s top producer in Indiana for many years and a top-ranked Barron’s broker. [read post]
3 Nov 2014, 5:42 am
One of the top things to do when getting a bad mark from the SEC is to fix the problem. [read post]
26 Mar 2011, 2:38 pm
A March 22 raid on Krejcir’s home in Johannesburg revealed an alleged hit list of four names with Beeka’s name at the top of the list, Polela said. [read post]
10 Mar 2016, 5:25 pm
The Securities and Exchange Commission today charged an Oregon-based investment group and three top executives with hiding the rapidly deteriorating financial condition of its enterprise while raising more than $350 million from investors. [read post]
2 Aug 2021, 6:59 am
The Securities and Exchange Commission’s Whistleblower Program under the Biden administration has picked up where it left off under President Obama, aggressively enforcing Rule 21F-17(a) against employers whose policies may impede employees from communicating with the SEC. [read post]
16 Mar 2018, 9:15 am
On February 26, 2018, the Securities and Exchange Commission issued an Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order against EquityStar Capital Management, LLC, an unregistered investment adviser, and its owner, Steven Zoernack. [read post]
27 Jan 2017, 9:11 am
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
27 May 2010, 10:43 am
The Co-Defendant had no active or direct relationships with any of Plaintiff's purchasers and had even signed an agreement with the Plaintiff that prohibited the Co-Defendant from engaging in any active relationship or exchanging information with visitors to the Co-defendant site. [read post]
26 Dec 2011, 3:00 am
Roni LLC v. [read post]
