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15 Jan 2019, 4:00 am
If things weren’t going well financially, I was not a happy guy because so much of the concept of security is wrapped up in financial security. [read post]
14 Jan 2019, 3:08 pm
Similar to the exclusion in Goggin, in Woodspring Hotels LLC v. [read post]
14 Jan 2019, 2:00 am
Bank’s pension plan sued the plan’s fiduciary in 2013 for, among other things, mismanaging the plan by investing 100 percent of it in equities and using expensive proprietary mutual funds to do so, including during the financial crisis of 2008. [read post]
11 Jan 2019, 7:56 am
Mark Dickman also allegedly engaged in non-disclosure of beneficiary status within client trust, in violation of LPL Financial LLC’s policy, according to a second Employment Separation Complaint filed on December 20, 2018 by LPL Financial LLC, Dickman’s FINRA BrokerCheck Report notes. [read post]
11 Jan 2019, 6:30 am
FEC, Disclosure, Index funds, Institutional Investors, Investor protection, Mutual funds, Political spending, Shareholder activism, Shareholder voting Shareholder Resolutions and IPOs Posted by Jonas Kron, Trillium Asset Management, LLC., on Saturday, January 5, 2019 Tags: Boards of Directors, Disclosure, Engagement, ESG, Institutional Investors, IPOs, Private firms, Public… [read post]
8 Jan 2019, 12:31 am
BEC also known as a cyber-enabled financial fraud, often targets employees with access to company finances, enticing them through a variety of methods, including social engineering and computer intrusions, to conduct unauthorized transfers of funds. [read post]
7 Jan 2019, 8:10 am
FINRA Broker Disciplinary Action Report December 2018Each 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]
4 Jan 2019, 8:30 am
According to BrokerCheck records financial advisor Ronald Walker (Walker), currently employed by NYLife Securities LLC (NYLife) has been subject to five customer complaints during his career. [read post]
3 Jan 2019, 2:10 pm
Last February the Securities and Exchange Commission ("SEC") announced their Share Class Selection Disclosure Initiative. [read post]
3 Jan 2019, 12:30 am
FENLON, Appellant,v.HARRIS COUNTY, CITY OF HOUSTON, HOUSTON INDEPENDENT SCHOOL DISTRICT, HOUSTON COMMUNITY COLLEGE SYSTEM, AND PROPEL FINANCIAL SERVICES, LLC AS AGENT AND ATTORNEY IN FACT FOR PROPEL FUNDING NATIONAL 1, LLC, Appellees. [read post]
2 Jan 2019, 8:14 am
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
1 Jan 2019, 5:10 pm
These areas range from defense and national security to import tariffs and small business programs. [read post]
31 Dec 2018, 1:04 pm
· Apollo Infrastructure “shelved” a $275M loan involved in Apollo Global Management LLC’s $1B acquisition of a portfolio that came from GE Capital’s Energy Financial Services. [read post]
30 Dec 2018, 3:03 am
The Bill was to be an overhaul of the compulsory licence system that governs mechanical licences in the US, with Collins and Jeffries saying: "Under the Music Modernization Act, the digital services would fund a Mechanical Licensing Collective, and, in turn, be granted blanket mechanical licenses for interactive streaming or digital downloads of musical works". [read post]
27 Dec 2018, 8:56 am
First Line Solutions LLC, 566 F. [read post]
24 Dec 2018, 11:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over unapproved securities. [read post]
22 Dec 2018, 8:23 am
Kelley is accused of promising that he would invest investor funds in a variety of investment products including private placements and real estate funds. [read post]
20 Dec 2018, 10:33 am
Financial Industry Regulatory Authority (FINRA) also imposed fines over the same purported anti-money laundering (AML) deficiencies—a $4.5M fine for UBS Financial Services and a $500K fine for UBS Securities, LLC. [read post]
20 Dec 2018, 9:04 am
McIntyre and his company, Silver Oak Land Management, LLC. [read post]
19 Dec 2018, 9:51 am
The post Zamansky LLC Investigates GPB Capital Holdings Private Funds appeared first on Zamansky LLC. [read post]
