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12 Jan 2018, 3:50 am
In another recent case, the Securities and Exchange Commission (SEC) has accused a broker and his investment firm of raising $3.4 million from investors through the sale of unregistered securities. [read post]
22 Dec 2016, 6:24 am
The complaint alleges that Onix Capital and Chang “violated the federal securities laws by fraudulently raising approximately $7.4 million from investors based on material misrepresentations regarding the investments offered, the use of the funds raised, and the background and financial success of Chang himself. [read post]
22 Dec 2016, 6:24 am
The complaint alleges that Onix Capital and Chang “violated the federal securities laws by fraudulently raising approximately $7.4 million from investors based on material misrepresentations regarding the investments offered, the use of the funds raised, and the background and financial success of Chang himself. [read post]
25 Feb 2009, 5:01 am
Hennessee Group LLC. [read post]
26 Mar 2008, 10:42 am
" Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
13 May 2020, 11:23 am
According to BrokerCheck records, Lewis was formerly registered with FINRA member firm NYLife Securities LLC (NYLife Securities) and MetLife Securities Inc. [read post]
19 Dec 2019, 10:13 am
Maughan exercised de facto control over the trust account and made all investment decisions in it, including what securities to buy and sell, the quantities of the securities to buy and sell and when each transaction would occur. [read post]
16 Jun 2008, 4:39 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
24 Jul 2012, 4:05 pm
Through these connections, Cranney held himself out as a financial advisor and operated several companies including Cranney Capital I, LLC, Cranney Capital II, LLC, Cranney Capital III, LLC, Cranney Industries, and Cranney Capital I Employee Stock Ownership Plan. [read post]
9 Oct 2015, 6:28 am
The complaint involved allegations that the claimant invested in Kadmon I, LLC and John Thomas Bridge and Opportunity Fund, L.P. [read post]
27 Aug 2020, 7:23 am
FINRA Broker Disciplinary Action Report: August 2020Each 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]
30 Dec 2013, 6:33 am
Thereafter, FINRA alleged that Isaacs negligently misrepresented to the customers that an investment in CIP Leverage Fund Advisors, LLC (CIP) was for moderately conservative investors and would pay interest to the investors on a monthly basis. [read post]
10 Jan 2011, 7:35 pm
Goldman hired ACA asset-management unit ACA Management LLC as "portfolio selection agent” to choose the securities for the Abacus deal. [read post]
19 Oct 2018, 11:53 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
19 Oct 2018, 11:53 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
14 Dec 2018, 6:06 am
Securities and Exchange Commission, on Friday, December 7, 2018 Tags: Disclosure, Financial reporting, Information environment, Municipal securities, Retail investors, SEC, Securities regulation, Transparency SEC Rulemaking Over the Past Year, the Road Ahead and Challenges Posed by Brexit, LIBOR Transition and Cybersecurity Risks Posted by Jay Clayton, U.S. [read post]
26 Sep 2023, 9:01 pm
Several banks assigned portions of the term loan made to Millennium Laboratories LLC (“Millennium”) to institutional investor groups, including mutual funds, hedge funds and other institutions. [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]
13 Jul 2020, 12:54 pm
In addition to the alleged violations asserted by the CFPB against the defendants under the Consumer Financial Protection Act, we are surprised that the Securities and Exchange Commission has not joined in the complaint to assert claims for selling unregistered securities under the Securities Act of 1933, as amended, and for selling securities without a broker-dealer registered under the Securities Exchange Act of 1934, as amended. [read post]
2 Sep 2015, 1:59 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 Vero Beach, Florida. [read post]
