Search for: "Security First Managers, LLC."
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26 Oct 2018, 7:27 am
The post FINRA Suspends Registered Individuals in October 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Oct 2018, 4:33 pm
First, a little history and background and then a more extensive analysis. [read post]
23 Oct 2018, 9:51 am
The building was built by Dovetail Builders LLC and opened for business in 2005. [read post]
22 Oct 2018, 9:08 am
Far too many younger people do not get this necessary help because they think they have plenty of time to put legal tools in place to address end of life issues and secure their legacy. [read post]
22 Oct 2018, 9:00 am
What about state laws governing data breaches and patient privacy and security? [read post]
19 Oct 2018, 4:36 pm
The criminal charge is nearly identical to the first count in the February indictment of the Internet Research Agency and associated entities. [read post]
18 Oct 2018, 1:28 pm
The key is not to get draw into a Ponzi Scheme in the first place. [read post]
18 Oct 2018, 12:13 pm
As recently reported, the Massachusetts Securities Division (the “Division”) has commenced an investigation into the sales practices of some 63 independent broker-dealers who offered private placements sponsored by alternative asset manager GPB Capital Holdings, LLC (“GPB”). [read post]
14 Oct 2018, 4:20 pm
The case was first reported by Roll on Friday. [read post]
14 Oct 2018, 7:39 am
Posted by Deb Lifshey, Pearl Meyer & Partners, LLC., on Sunday, October 14, 2018 Editor's Note: Deb Lifshey is managing director at Pearl Meyer & Partners, LLC. [read post]
12 Oct 2018, 11:12 am
Hitt is accused of securities fraud involving his asset management firm Kiddar Capital, LLC. [read post]
11 Oct 2018, 5:03 pm
Schmidt previously worked for several other financial firms, including First Union Securities, PaineWebber Incorporated, and Prudential-Bache Securities. [read post]
10 Oct 2018, 12:40 pm
Pre-2018 SEC Cyber-Disclosure Guidance On October 13, 2011, the SEC released the 2011 SEC CF Guidance, its first ever staff guidance pertaining exclusively to the cybersecurity-related disclosure obligations of public companies. [read post]
8 Oct 2018, 3:47 am
Last August, in the first decision in Case #1 reported here, the court dismissed Patrick’s claims under LLC Law § 702 for judicial dissolution of two family-owned LLCs based on allegations that his siblings’ “retaliatory” and “oppressive” amendments to the operating agreements were inconsistent with the LLCs’ intended estate-planning purposes. [read post]
7 Oct 2018, 4:08 pm
The Project has two posts analysing the first and second days of the experience. [read post]
5 Oct 2018, 1:39 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
4 Oct 2018, 12:37 pm
The post FINRA Arbitration Claim Filed against Laidlaw & Co. appeared first on White Securities Law. [read post]
2 Oct 2018, 8:14 am
The post Ironwood Institutional Multi-Strategy Fund LLC appeared first on White Securities Law. [read post]
2 Oct 2018, 5:40 am
The post FINRA Suspends Registered Individuals for Violations of FINRA Rules in September 2018 appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Oct 2018, 1:04 pm
The regulator is charging All In Publishing, LLC, Berry Media Works, LLC, and 10 individuals. [read post]
