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8 May 2009, 8:15 am
Jodi Rell reverses her proposal that Connecticut dip into the $2million dollar Client Security fund to help balance the state budget. [read post]
13 Dec 2016, 10:13 am
The post Treasury Mandatory Survey Form TIC-SHC Due Soon— Fund Managers Should Assess Foreign Securities Holdings appeared first on Investment Fund Law Blog. [read post]
3 Sep 2015, 12:59 pm
The survivors’ fund […] [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]
6 Nov 2015, 7:22 am
Are Chinese bitcoin holders using bitcoin as a hedge fund against that same instability? [read post]
18 Sep 2008, 11:27 am
Hedge funds, known for their secrecy, are likely to be none too pleased with a Securities and Exchange Commission proposal for a disclosure rule that would require hedge funds and other large investors to disclose their short positions. [read post]
28 Feb 2016, 6:37 am
The post Asking for More Money for Social Security Disability Fund appeared first on Massachusetts Social Security Disability Lawyers Blog. [read post]
4 Aug 2020, 6:53 am
The post Securities And Exchange Commission Charges Par Funding, United Fidelis Group And Others In Half-Billion Dollar Fraud Scheme appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Sep 2010, 3:31 pm
Berlacher, along with several of his investment advisory entities and various hedge funds he managed, liable for securities fraud in connection with the funds' PIPE investments. [read post]
15 Sep 2010, 3:31 pm
Berlacher, along with several of his investment advisory entities and various hedge funds he managed, liable for securities fraud in connection with the funds' PIPE investments. [read post]
28 Jul 2014, 4:38 pm
“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]
5 Sep 2008, 11:58 am
Securities regulators are locking horns with some of America’s most powerful mutual funds and Wall Street players over plans to scrap requirements that money market funds hold investment-grade securities. [read post]
7 May 2009, 2:44 pm
The Fourth Circuit Court of Appeals delivered an opus today on whether a mutual fund investment advisor could be primarily liable under the federal securities laws for allegedly misleading statements in prospectuses issued by the mutual funds. [read post]
27 Mar 2013, 1:12 am
For example, March 2008, investors in the Charles Schwab YieldPlus Funds initiated a securities suit alleging violations of the federal securities laws and seeking damages; the defendants in that action included the funds’ trustees. [read post]
1 Oct 2018, 12:16 pm
On September 27, 2018, the Securities Exchange Commission (“SEC”) and Commodity Futures Trading Commission (“CFTC”) charged an international securities dealer with illegally offering and selling to U.S. investors security-based swaps funded with bitcoins and related violations of the Commodities Exchange Act. [read post]
5 May 2021, 10:51 am
Another Miami hedge fund has been accused of fraud by the Securities and Exchange Commission (SEC). [read post]
21 Oct 2018, 6:45 am
Funds are also subject to the anti-fraud and insider trading regulations under the Securities Act and the Securities and Exchange Act of 1934. [read post]
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
31 Aug 2021, 7:25 am
The post Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Feb 2008, 4:40 am
The national security implications of investment funds controlled by foreign governments, known as sovereign wealth funds, will be the subject of a full-day hearing Thursday before the U.S. [read post]
9 May 2012, 5:09 pm
” A private fund adviser is any investment adviser who provides advice solely to one or more private funds (i.e. a 3(c)(1) fund or a 3(c)(7) fund).[1] A private fund adviser must not be subject to disqualification from prior bad acts such as fraud or other securities law violations. [read post]
