Search for: "Security Financial Fund LLC"
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30 Sep 2019, 5:41 am
Hoffman, formerly registered with LPL Financial LLC (LPL Financial) and Union Capital Company (Union Capital) was subject to charges of securities fraud by The Securities and Exchange Commission (SEC) according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
29 Sep 2019, 3:00 pm
In February this year, the SEC charged Deloitte Touche Tohmatsu LLC, when its consulting affiliate maintained a business relationship with a trustee serving on the boards and audit committees of three funds it audited. [read post]
25 Sep 2019, 10:41 pm
California Investment Immigration Fund, LLC. [read post]
23 Sep 2019, 6:51 am
FINRA Broker Disciplinary Action Report: September 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
22 Sep 2019, 11:29 am
(American Portfolios) and Kestra Investment Services, LLC (Kestra Investment) out of New York, was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
22 Sep 2019, 10:09 am
The SEC’s complaint charges Smith, Broad Reach Capital, the fund’s general partner Broad Reach Partners, LLC, and the adviser, Bristol Advisors, LLC with violating the anti-fraud provisions of the federal securities laws. [read post]
21 Sep 2019, 2:31 pm
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 4-Sep-19Beyond IT ForensicsXact Data Discovery 15-Aug-19ayfie (Investee)Second Funding Round (Initial Funding Round June 2017)$10,000,000 8-Aug-19iCONECT (Investee)NewField Capital Partners (Investor) 1-Aug-19iControlESILegility 29-Jul-19CompiledKLDiscovery 29-Jul-19Strategic Legal… [read post]
21 Sep 2019, 1:31 pm
The proceeds were to provide to a film production company for the advance funding of anticipated state tax credits. [read post]
18 Sep 2019, 1:36 pm
From December 2007 through July 2014, Deliz was registered with Popular Securities, LLC. [read post]
13 Sep 2019, 5:49 am
Levitin (Georgetown University), on Wednesday, September 11, 2019 Tags: Financial crisis, Financial regulation, Risk management, Securities regulation, Systemic risk, Underwriting Proxy Season Rising Demand for Board Oversight of ESG Posted by Peter Reali and Anthony Garcia, Nuveen, LLC, on Wednesday, September 11, 2019 Tags: Board composition, Board oversight, Boards of… [read post]
11 Sep 2019, 9:18 am
Aurelius Investment, LLC Miller v. [read post]
11 Sep 2019, 7:48 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]
6 Sep 2019, 3:00 am
Weber’s activities at Mercury LLC have been under scrutiny by federal prosecutors in New York investigating whether he and others complied with laws requiring those working for a foreign country or political party to register with the Justice Department. [read post]
GPB Capital: $1.8 Billion in Private Placements Sold Yielded $167 Million in Commissions for Brokers
5 Sep 2019, 2:00 pm
Broker dealers that sold funds offered by GPB Capital Holdings LLC (“GPB”) have collectively been paid $167 million in commissions, according to a report from the publication Investment News. [read post]
3 Sep 2019, 6:30 pm
Real estate related fraud cases with the Securities and Exchange Commission catch my attention. [read post]
3 Sep 2019, 7:46 am
Third Point LLC has agreed to pay more than $600,000 to settle allegations the hedge fund failed to properly file for antitrust clearance when it bought DowDuPont stock two years ago, the U.S. [read post]
3 Sep 2019, 7:08 am
The CFPB has asserted that litigation funding transactions are loans. [read post]
30 Aug 2019, 5:53 am
Why Isn’t Your Mutual Fund Sticking Up for You? [read post]
29 Aug 2019, 8:54 am
The Commonwealth case involves a revenue sharing arrangement between Commonwealth and National Financial Services, LLC (“NFS”), an affiliate of mutual fund giant Fidelity Investments. [read post]
28 Aug 2019, 7:02 am
The company has yet to file financials with the Securities & Exchange Commission. [read post]
