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9 Jan 2018, 7:08 am
Specifically, last summer it granted LedgerX LLC’s application to register as a swap exchange facility and a derivatives clearing organization to trade and clear options on bitcoin, among other things. [read post]
5 Jan 2018, 6:43 pm
For starters, as an employee, your employer pays half of your FICA (Social Security and Medicare) taxes. [read post]
4 Jan 2018, 9:44 am
According to BrokerCheck records financial advisor Jeffrey Wilson (Wilson), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to four customer complaints. [read post]
31 Dec 2017, 5:12 pm
deception-in-debt-collection, dunning-letters, FDCPA, MIDLAND-FUNDING-LLC, statute-of-limitations – posted on 11/12/17S.O.L.! [read post]
31 Dec 2017, 5:12 pm
TOPCIS: federal-preemption, MIDLAND-FUNDING-LLC, National-Bank-Act, predatory-lending-issue, usury – posted 12/12/17Rich Reister vs. [read post]
29 Dec 2017, 7:51 am
The Financial Industry Regulatory Authority (FINRA ) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
29 Dec 2017, 7:34 am
When historians look back at the copyright worlf in 2017 (if our attention spans allow us to have roles such as a 'historian' in the future!) [read post]
28 Dec 2017, 10:02 am
The post JHFG Multifamily Opportunity Fund LLC – Securities Investigation appeared first on White Securities Law. [read post]
26 Dec 2017, 7:08 pm
In addition to the judgment against Allied, the Department secured a settlement with PHH Mortgage for $65 million and Financial Freedom for $89 million. [read post]
23 Dec 2017, 12:00 am
Medina, an estate planning and elder law attorney and Certified Financial Planner™. [read post]
20 Dec 2017, 2:29 pm
On December 18, 2017, LPL Financial LLC (“LPL”) lost a FINRA arbitration concerning customer claims related to former LPL broker Charles Fackrell. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records financial advisor William Paynter (Paynter), employed by Wells Fargo Clearing Services, LLC (Wells Fargo), has been subject to two customer complaints. [read post]
17 Dec 2017, 9:07 am
In the industry the term selling away refers to when a financial advisor solicits investments in companies, promissory notes, or other securities that are not pre-approved by the broker’s affiliated firm. [read post]
15 Dec 2017, 11:05 am
Included in Woodbridge’s entities or mortgage funds are: WMF Management LLC Woodbridge Group of Companies Woodbridge Mortgage Investment Fund 1,LLC; Woodbridge Mortgage Investment Fund 2, LLC; Woodbridge Mortgage Investment Fund 3, LLC; Woodbridge Mortgage Investment Fund 3A, LLC; Woodbridge Mortgage Investment Fund 4, LLC; Woodbridge Mortgage Investment Fund PA, LLC;… [read post]
15 Dec 2017, 3:00 am
Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not provide tax or legal advice. [read post]
14 Dec 2017, 12:40 pm
” This could be helpful for simplicity at the very initial stage of the business and could be converted later when funding is sought if the investor does not want the LLC form of business. [read post]
13 Dec 2017, 1:47 pm
Registered representative JoeAnn Walker (CRD# 2210194) was previously affiliated with Commonwealth Financial Network (1998-2006), LPL Financial LLC (2006-2015), and most recently, NEXT Financial – until her termination by her former employer in October. [read post]
12 Dec 2017, 4:36 pm
Indeed, the definition of “security” under Section 2(a)(1) of the Securities Act of 1933 (and the nearly identical definition under Section 3(a)(10) of the Exchange Act of 1934) includes not only a number of specific types of financial instruments, such as notes, bonds, debentures and stock, but also broad categories of financial instruments, such as evidences of indebtedness and investment contracts. [read post]
9 Dec 2017, 12:00 am
Target date funds are basically funds that are managed by somebody. [read post]
8 Dec 2017, 8:13 am
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]
