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4 Mar 2018, 12:00 am
The SEC asserted Chang knowingly engaged in an insider-trading scheme and failed to disclose his ownership of securities in accordance with federal securities laws. [read post]
3 Mar 2018, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
2 Mar 2018, 1:54 pm
Perry was registered with Independent Financial Group, LLC in Mt. [read post]
25 Feb 2018, 4:49 pm
This decision was widely reported in the press, including in the Independent and the Times [£] Internet and Social Media The Financial Times considers the difficulties posed by to Facebook in ensuring GDPR compliance. [read post]
23 Feb 2018, 7:33 am
The post NJ Financial Advisor Jeffrey Palish Arrested for Theft by Deception appeared first on White Securities Law. [read post]
21 Feb 2018, 5:13 pm
When they fail to do so, they can be held legally accountable through arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), and currently numerous investment advisory firms are facing arbitration claims filed by individual investors who have suffered losses in Puerto Rico municipal bonds and bond funds. [read post]
19 Feb 2018, 5:27 pm
Transactions that Advisors Can Place on Hold Under the new rules, an investment advisor can, “place a temporary hold on a disbursement of funds or securities from the account of a specified adult if the [advisor] reasonably believes that financial exploitation of the specified adult has occurred, is occurring, has been attempted or will be attempted. [read post]
17 Feb 2018, 12:00 am
Click below to read the full transcript… Announcer: Welcome to “Make It Last,” helping you keep your legal ducks in a row and your nest eggs secure, with your host Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
16 Feb 2018, 12:24 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]
15 Feb 2018, 10:29 am
If it does, you will receive a maintenance margin call that requires you to deposit more funds or securities in order to maintain the equity at the 25 percent level. [read post]
14 Feb 2018, 3:14 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]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
13 Feb 2018, 3:14 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]
12 Feb 2018, 3:02 pm
The ICO bubble could burst any minute, which may destroy the wealth of some, but will also better secure the financial future of all. [read post]
10 Feb 2018, 12:00 am
Click below to read the full transcript… Bert: Welcome to “Make it Last,” helping you keep you legal ducks in a row and your nest egg secure, with your host, Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
9 Feb 2018, 5:06 am
Securities and Exchange Commission, on Wednesday, February 7, 2018 Tags: Blockchain, CFTC, Cryptocurrencies, Exchange Act, Financial technology, ICOs, Innovation, Investor protection, SEC, Securities enforcement, Securities fraud Cryptocurrency 2018 Posted by David E. [read post]
8 Feb 2018, 2:00 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]
8 Feb 2018, 12:28 pm
Land Fund III Walton Land Opportunity Fund LP Walton Canter Creek LLC Walton U.S. [read post]
8 Feb 2018, 7:21 am
Free Consultation with a Securities Attorney When brokers make unsuitable investment recommendations and squander client funds, the brokerage firm that employs them may be liable for failure to supervise and responsible for investment losses. [read post]
6 Feb 2018, 3:19 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]
