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14 Nov 2017, 3:27 am
These exchanges, such as Coinbase and Bitfinex, allow people to buy, sell, and transfer funds across cryptocurrencies and central bank-backed currencies, such as dollars and euros. [read post]
10 Nov 2017, 6:22 am
Wilcox, Morrow Sodali, on Monday, November 6, 2017 Tags: BlackRock, Board composition, Boards of Directors, Disclosure, Engagement, ESG, Index funds, Institutional Investors, Long-Term value, Mutual funds Impediments to Books and Records Demands Posted by Christopher B. [read post]
8 Nov 2017, 7:23 am
Secondary Market Listing – ATEL 16 LLC – $6.75/share Did you lose money investing in ATEL 16 LLC at the advice of your financial advisor? [read post]
8 Nov 2017, 4:47 am
According to BrokerCheck records financial advisor Christopher Sinkula (Sinkula), currently associated with Janney Montgomery Scott LLC (JMS), has been subject to seven customer complaints. [read post]
7 Nov 2017, 4:37 pm
On April 12, 2016, former LPL Financial LLC (“LPL”) broker Charles C. [read post]
7 Nov 2017, 9:48 am
In a recent proposed class action consumer lawsuit against Ocwen Loan Servicing, LLC, the parties have agreed to a financial settlement of $17.5 million to cover the claims of more than 1.6 million customers. [read post]
6 Nov 2017, 6:57 am
A special needs trust funded with a structured settlement can help maintain eligibility and protect the employee’s long-term security. [read post]
6 Nov 2017, 6:57 am
A special needs trust funded with a structured settlement can help maintain eligibility and protect the employee’s long-term security. [read post]
6 Nov 2017, 6:57 am
A special needs trust funded with a structured settlement can help maintain eligibility and protect the employee’s long-term security. [read post]
5 Nov 2017, 7:33 am
According to BrokerCheck records financial advisor Herbert Smith (Smith), currently associated with Kestra Investment Services, LLC (Ketra Investment), has been subject to one customer complaint and two tax liens. [read post]
5 Nov 2017, 7:32 am
The Securities and Exchange Commission (SEC) recently filed a complaint against former Gradient Securities, LLC (Gradient) and Cambridge Investment Research, Inc. [read post]
4 Nov 2017, 9:50 am
Holliday is registered with the advisory firm AlO Financial, LLC and sold Woodbridge Funds to investors. [read post]
3 Nov 2017, 6:02 am
SEC’s Proposed Modernization of Regulation S-K Posted by Ropes & Gray LLP, on Friday, October 27, 2017 Tags: Confidentiality, Disclosure, FAST Act, Financial reporting, Regulation S-K, Reporting regulation, SEC, SEC rulemaking, Securities regulation Coordinating Compliance Incentives Posted by Veronica Root, University of Notre Dame, on Friday, October 27, 2017 Tags: Compliance &… [read post]
2 Nov 2017, 10:17 am
Recovering Investment Losses in HMS Income Fund Did you lose money investing in HMS Income Fund at the recommendation of your financial advisor? [read post]
1 Nov 2017, 7:29 am
Have you suffered losses as a result of investment funds recommended to you by former Merrill Lynch financial advisor Tom Buck? [read post]
1 Nov 2017, 5:47 am
The securities lawyers of Gana LLP are investigating customer complaints against former LPL Financial LLC (LPL Financial) Broker Daniel Pugel (Pugel). [read post]
31 Oct 2017, 2:07 pm
On October 24, 2017, the New Jersey Bureau of Securities (the “Bureau”) entered into a Consent Order (“Order”) with Boston-based brokerage firm LPL Financial, LLC (CRD# 6413) (“LPL”), in connection with LPL’s sales of certain non-traded investment products to residents of New Jersey. [read post]
30 Oct 2017, 7:30 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]
27 Oct 2017, 6:24 am
References to “NASDAQ” will be changed to “Nasdaq” References to “The NASDAQ Stock Market LLC” or “NASDAQ Stock Market LLC” will be changed to “The Nasdaq Stock Market LLC” President Trump Signs Bill Directing SEC to Expand Safe Harbor for Certain Investment Fund Research Reports The amended Rule will expand the safe harbor for research reports that are not deemed to be “offers” for… [read post]
27 Oct 2017, 6:01 am
Securities Cases to Watch this Term at the Supreme Court Posted by Brad S. [read post]
