Search for: "Security Financial Fund LLC"
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9 Mar 2020, 1:21 pm
· Molly Burich, Director of Public Policy, Boehringer Ingelheim · Surya Singh, President, Singh Healthcare Advisors, LLC Moderated Panel Discussion Meredyth Andrus, Attorney, Health Care Division, Bureau of Competition, FTC Does the designation of interchangeability still have value in the US? [read post]
5 Mar 2020, 1:49 pm
Specifically, for legal practitioners, financial professionals, fintech consultants and the like, there are three important takeaways from the Seagal SEC order worthy of analysis: ICOs Constitute the Sale of Securities. [read post]
4 Mar 2020, 5:44 am
As at the time of investigation, Erik Pica’s employment as an investment adviser with John Stone Capital, LLC had been terminated. [read post]
4 Mar 2020, 5:44 am
As at the time of investigation, Erik Pica’s employment as an investment adviser with John Stone Capital, LLC had been terminated. [read post]
2 Mar 2020, 6:58 am
REI Energy 2019-A Drilling & Income Fund Securities Fraud Investigation Are you concerned about your investment in REI Energy 2019-A Drilling & Income Fund? [read post]
27 Feb 2020, 8:00 am
Advisor John Hoidas (Hoidas), formerly employed by Uhlmann Price Securities, LLC (Uhlmann Price) has been subject to at least four customer complaints and one judgment or lien during the course of his career. [read post]
26 Feb 2020, 8:24 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
25 Feb 2020, 6:22 am
According to BrokerCheck records, Singh was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Farmers Financial Solutions, LLC (Farmers Financial). [read post]
21 Feb 2020, 1:50 pm
The deal would turn the .ORG registry—run for 17 years by the nonprofit Public Interest Registry (PIR) organization—into a for-profit enterprise controlled by a private equity firm that is partially funding the deal with a $360 million term loan.The proposed transaction would increase the likelihood that the new for-profit PIR LLC could unfairly exercise its monopoly power to disadvantage non-profit organization consumers by reducing service levels, imposing onerous… [read post]
20 Feb 2020, 10:44 am
On February 18, 2020, the SEC announced that it had sued EquiAlt LLC (as well as EquiAlt Fund, LLC, EquiAlt Fund II, LLC, EquiAlt Fund III, LLC, and EA SIP, LLC), owner and CEO Brian Davison, and managing director Barry Rybicki in federal court. [read post]
20 Feb 2020, 8:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
20 Feb 2020, 7:54 am
In November 2017 a customer complained that Godin violated the securities laws by alleging that Godin caused losses due to the financial advisor’s unsuitable recommendation to invest in a managed futures fund from November 2012 through 2016. [read post]
18 Feb 2020, 2:08 am
The White Law Group is investigating potential securities fraud claims involving the liability that financial advisors or broker-dealers may have for improperly recommending the following EquiAlt private placement offerings: EquiAlt Fund II, LLC EquiAlt Fund, LLC EquiAlt Fund III EA SIP LLC EquiAlt Qualified Opportunity Zone Fund, LP EquiAlt Secured Income Portfolio REIT, Inc. [read post]
17 Feb 2020, 10:23 am
The fund is co-managed by Nuveen Fund Advisors, LLC and Advisory Research, Inc. [read post]
17 Feb 2020, 7:29 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of multiple clients alleging that Concorde Investment Services, LLC (Concorde Investment) representative Daniel Raupp (Raupp) sold them fraudulent securities linked to GPB Capital causing at least $500,000 in losses. [read post]
17 Feb 2020, 6:48 am
He then worked for Credit Suisse Securities (USA) LLC (CRD# 816) before joining UBS (CRD# 8174) in 2015. [read post]
14 Feb 2020, 6:31 am
Posted by the Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, February 14, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 7–13, 2020. 8-K Trading Gap Act Posted by Michael Kaplan, Richard D. [read post]
14 Feb 2020, 3:00 am
His was the last conviction secured by special counsel Robert Mueller as part of the investigation into Russian interference in the 2016 election. [read post]
13 Feb 2020, 8:54 am
You’ll want to have the funds to do what you want to do. [read post]
11 Feb 2020, 12:57 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
