Search for: "Security Funding "
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13 Sep 2016, 1:39 pm
The requirement that Maryland attorneys share their Social Security numbers with the state Judiciary’s Client Protection Fund or face suspension survived a right-to-privacy challenge in a federal appeals court Tuesday. [read post]
14 Mar 2009, 5:53 am
My recent article, “A Shaky Future for Securities Act Claims Against Mutual Funds“, considers the liability of mutual fund issuers under § § 11(a) and 12(a)(2) the Securities Act. [read post]
5 Jun 2018, 11:43 am
“The Social Security Board of Trustees today released its annual report on the long-term financial status of the Social Security Trust Funds. [read post]
7 Aug 2020, 4:00 am
Have you suffered losses in your Park Avenue Securities account due to Multiclass Mutual Fund Abuse and/or the failure to supervise? [read post]
1 Oct 2010, 4:06 pm
The Alcala Law Firm, a securities law firm based in the San Francisco Bay Area, has just published a newsletter for IMH Secured Loan Fund investors who had their investment converted into shares of IMH Financial Corporation. [read post]
10 Apr 2012, 1:13 am
For example, in Australia, observers have attributed the growth in securities litigation to the availability of litigation funding. [read post]
10 Apr 2012, 1:13 am
For example, in Australia, observers have attributed the growth in securities litigation to the availability of litigation funding. [read post]
13 Apr 2014, 2:05 pm
Urska Velikonja has posted Public Compensation for Private Harm: Evidence from the SEC's Fair Fund Distributions on SSRN with the following abstract: The SEC’s primary goal is enforcing compliance with securities laws. [read post]
28 Mar 2010, 12:59 pm
Rethinking the Regulation of Securities Intermediaries, by Jill E. [read post]
24 May 2011, 1:59 am
The parties to two of the consolidated subprime-related securities lawsuits pending against Oppenheimer Funds have settled the case for a total of $100 million. [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit of applicable sales… [read post]
5 Jun 2009, 7:05 am
A Shaky Future for Securities Act Claims Against Mutual Funds, by David M. [read post]
7 Aug 2023, 12:14 pm
The Securities and Exchange Commission today announced settled charges against Theorem Fund Services LLC (TFS), a fund administrator based in Boca Raton, Florida, for failing to respond to red flags relating to a fraud against a private fund and its investors. [read post]
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [read post]
9 Feb 2023, 3:15 am
Last week, a jury in a securities class action lawsuit found in favor of Elon Musk for his 2018 “funding secured” tweet – in which he said he was considering taking Twitter private at $420 per share and had locked in the funding. [read post]
15 Jan 2015, 6:29 am
It is no secret that the Social Security Disability Trust Fund is “running low. [read post]
22 Jun 2012, 6:04 pm
On June 15, 2012, the Maryland Securities Commissioner issued an order adopting the NASAA model rule exemption for investment advisers to private funds. [read post]
6 Apr 2018, 8:05 pm
Social Security Administration (SSA). [read post]
6 Apr 2018, 8:05 pm
Social Security Administration (SSA). [read post]
17 Jan 2012, 2:44 pm
The SEC charged an investment advisory arm of UBS with failing to properly price securities in three mutual funds that it managed, resulting in a misstatement to investors of the net asset values (NAVs) of those funds. [read post]
