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9 Nov 2011, 9:36 am
For more information contact us at (877) SEC-ATTY.andnbsp; [read post]
9 Nov 2011, 8:21 am
Citigroup Global Markets, Inc, SD NY, 11-CIV 7387, Rakoff, J).Noting that the US Supreme Court has expressly endorsed the entry of consent decrees notwithstanding a defendant’s explicit denial of material allegations of the complaint, the SEC said that there is nothing unusual or untoward about a consent decree entered into without an admission of wrongdoing by the defendant, and that criticism of consent decrees for not including such an admission is unjustified. [read post]
9 Nov 2011, 8:01 am
Getting back to our title...your initial margin is only as safe as your FCM's risk management program...for better or worse...that's how the futures markets work. [read post]
9 Nov 2011, 6:59 am
For more information contact us at (877) SEC-ATTY. [read post]
8 Nov 2011, 4:41 pm
More information may be needed on how management arrived at the valuations. [read post]
8 Nov 2011, 11:54 am
" In response to the inquiry regarding individual offenders, the Commission pointed out it has brought actions against Brian Stoker, the Citigroup employee primarily responsible for structuring the CDO transaction, and Credit Suisse Asset Management's portfolio manager, Samir Bhatt. [read post]
4 Nov 2011, 8:23 pm
If you have specific questions, please feel free to send us questions and we will do our best to provide appropriate information through the blog. [read post]
3 Nov 2011, 9:12 pm
Finally, recent United States Supreme Court cases Rent-A-Center, West, Inc. v. [read post]
3 Nov 2011, 12:13 pm
This new approach to licensing might create a secondary market for assets created using licensed rights. [read post]
2 Nov 2011, 1:34 pm
The indictment alleges that Scarfo and Pelullo used economic extortion and threats of violence to removed the entire board of directors and management of FirstPlus. [read post]
1 Nov 2011, 3:53 pm
Please contact us if you need help with respect to any of the items discussed in the NFA memo below. **** November 1, 2011 Proposed Guidance for CPOs with Pool Funds Held at MF Global, Inc. [read post]
31 Oct 2011, 1:55 pm
In addition, allegedly fraudulent private deals orchestrated by Medical Capital Holdings Inc. and Provident Asset Management LLC seem to have taken down a number of independent broker-dealers. [read post]
31 Oct 2011, 1:53 am
The gross profit margin for OVERSTOCK.COM INC is rather low; currently it is at 16.10%. [read post]
27 Oct 2011, 3:34 pm
Of course, Kupersmith and Chelly held no such funds or assets to cover their trades. [read post]
26 Oct 2011, 5:43 am
They seemed to believe that this would cause us to dismiss the case and allow them to go on their merry way. [read post]
20 Oct 2011, 8:23 am
If you find our Blog useful and informative, please register with LexisNexis (it's free and here) and vote by adding a comment to the article (here). [read post]
20 Oct 2011, 7:17 am
FINRA suspended the Private Asset Group Inc. in May 2010 for failing to pay arbitration fees after it sold $2 million in private placements, and Provident Asset Management was expelled in March after selling $50,000 in oil and gas private placements that promised annual returns of 18 percent. [read post]
19 Oct 2011, 1:39 pm
[#Climate] GET THE REST OF TODAY'S NEWS (click here)Waste Information & Management Services, Inc. [read post]
17 Oct 2011, 6:50 am
Create a personalized (not boilerplate) revocable living trust to manage your assets during your disability or illness. [read post]
12 Oct 2011, 7:24 am
” Perhaps there’s another phrase you could have used than ravenous. [read post]
