Search for: "Security Financial Fund LLC"
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17 May 2019, 11:20 am
Rodriguez moved funds between customer’s related accounts in order to place authorized bond orders for the purposes of generating qualifying revenue so that [he] could retain his international financial advisor status. [read post]
15 May 2019, 3:45 pm
Wasserman, PAA’s president, with fraud and related charges in connection with making material misrepresentations and omissions in American Growth Funding II LLC (AGF II)’s private placement offering. [read post]
13 May 2019, 4:00 am
The Securities and Exchange Commission has made the industry very aware that it will look closely at the way private-equity firms handle fund expenses. [read post]
10 May 2019, 5:41 am
To speak with a financial fraud lawyer at Zamansky, LLC, request a free initial consultation today. [read post]
8 May 2019, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
6 May 2019, 12:26 am
Vice Chancellor Glasscock’s recent valuation opinion in Smith v Promontory Financial Group, LLC, Mem. [read post]
4 May 2019, 12:39 pm
(mem. op.)In the latest chapter of the ongoing saga involving efforts to improve yields on these private student loans originated and securitized before the financial crisis under the National Collegiate moniker through litigation, a panel of the same court in February 2019 ignored its own prior holdings and affirmed a judgment for the Trust. [read post]
3 May 2019, 8:51 am
AXA Advisors LLC Fined for Reportedly Misrepresenting Junk Bonds According to the Financial Industry Regulatory Authority (FINRA), the broker-dealer unit of AXA Equitable Life Insurance Co. agreed to pay a $600,000 fine and repay $172,000 to 401(k) retirement plan participants for marketing some junk bond funds as investment-grade. [read post]
3 May 2019, 6:38 am
Posted by Akshaya Kamalnath (Deakin Law School), on Wednesday, May 1, 2019 Tags: Agency costs, Agency model, Artificial intelligence, Board composition, Board oversight, Boards of Directors, Financial technology, Oversight The Compensation Committee Agenda for 2019 Posted by Steve Van Putten, David Bixby, and Jan Koors, Pearl Meyer & Partners, LLC., on Wednesday, May 1, 2019 Tags: Accounting, Boards of… [read post]
3 May 2019, 5:56 am
For example, in some cases, financial advisors will arrange for transfers of funds from a client account to a third party account, like an LLC or some outside business, from which the advisor then steals the money. [read post]
30 Apr 2019, 7:40 am
Imagine your financial adviser selling you a bond fund that you thought was invested in low risk index or municipal securities only to find out that much of your holdings are in high-risk Chinese or Puerto Rico bonds. [read post]
29 Apr 2019, 12:55 pm
(BARC), BNP Paribas Securities Corp., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
29 Apr 2019, 7:48 am
LPL Financial LLC Purshe Kaplan Sterling Investments, Inc. and CS Planning Corp. [read post]
26 Apr 2019, 5:55 am
Kiviat, Davis Polk & Wardwell LLP, on Monday, April 22, 2019 Tags: Asset management, Bitcoin, Blockchain, CFTC, Commodities, Commodity Exchange Act, Cryptocurrency, Disclosure, Financial advisers, Financial technology, ICOs, Regulation D, Securities regulation Truth and Bias in M&A Target Fairness Valuations: Appraising the Appraisals Posted by Matthew Shaffer (University of Southern… [read post]
25 Apr 2019, 12:45 pm
SEC Accuses Investment Adviser of Misappropriating Funds from Hedge Funds The US Securities and Exchange Commission (SEC) has secured an emergency asset freeze, as well as a temporary restraining order, to stop an ongoing allegedly fraudulent securities offering that was purportedly conducted to conceal the misappropriation of about $570K from hedge fund clients. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records financial advisor John Spach (Spach), formerly employed by Kestra Investment Services, LLC (Kestra) has been subject to at least one customer complaint, one regulatory action, and one employment termination for cause. [read post]
25 Apr 2019, 9:07 am
The Committee will also have an observer appointed by the Financial Industry Regulatory Authority.SEC Press Release--- If you believe need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
23 Apr 2019, 2:14 pm
Recently, The Financial Industry Regulatory Authority (FINRA) brought a case against Shopoff Securities, Inc., William Shopoff, and Stephen Shopoff. [read post]
22 Apr 2019, 7:38 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
21 Apr 2019, 10:14 am
Lyons, LLC (JJB Hilliard), has been subject to at least thirteen customer complaints and one regulatory action during the course of his career. [read post]
