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26 Jul 2011, 1:37 pm
Furthermore, a monitor (employed at this own expense) will ensure that Pia complies with this order for a five-year period and imposes considerable record-keeping and new registration obligations.Previously the CFTC settled similar charges against Moore Capital Management, LP (MCM), Moore Capital Advisors, LLC (MCA) and Moore Advisors, Ltd. [read post]
30 Nov 2023, 6:41 am
Another 512(f) Claim Fails–Bored Ape Yacht Club v. [read post]
2 Sep 2011, 1:50 pm
CPO/CTA SureInvestment suspended in NFA emergency actionThe NFA has taken emergency action against SureInvestment, LLC and Cosby Wood. [read post]
21 Jul 2011, 9:35 pm
Daniel Gropper, managing director of Aurelius Capital Management, is one of the executives accused. [read post]
12 Jul 2011, 5:18 pm
(AP) — Three years ago, Jose Baez’s name was barely a blip in the legal community. [read post]
22 Dec 2009, 7:01 pm
Prosecutors are accusing Brian Schuster and Rebecca Engle, previously affiliated with Wachovia Securities LLC, Capital Growth Financial LLC, and VSR Financial Services Inc., of improperly selling risky investments to former clients when they worked together between 2000 and 2007. [read post]
15 Nov 2018, 4:11 am
Also at The National Law Review, Rafael Reyneri looks at PDR Network, LLC v. [read post]
24 Jan 2014, 6:28 am
According to FINRA the three brokers owned and controlled two companies – Allen Partners Capital, LLC (APC) and Allen Partners, LLC (AP). [read post]
1 Nov 2016, 10:23 am
(CMG) and APS Management LLC (APS), along with a business partner. [read post]
8 May 2014, 12:44 pm
Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. [read post]
22 Feb 2020, 6:11 am
” HDC, LLC v. [read post]
20 Sep 2020, 8:21 pm
Insight Equity AP X Co., LLC, et al., C.A. [read post]
7 Nov 2009, 7:50 am
Slowey, Jr. and the companies he controls - Endeavor Partners, LLC and Endeavor Capital Management Group, LLC - along with Advanced Planning Securities (APS), Oldham Harris and brokers Edward Puttick, Gregory Oldham and Glenn Harris for allegedly swindling retirees and senior citizens out of nearly $12 million. [read post]
18 Jan 2012, 1:43 pm
Also arrested were Sigma Capital Management analyst Jon Horvath, hedge fund portfolio manager Todd Newman, who used to work at Diamondback Capital Management LLC, and analyst Danny Kuo. [read post]
31 May 2011, 6:02 pm
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINE Posted at 01:00 PM ET, 05/16/2011 In St. [read post]
6 May 2019, 4:56 am
City of Miami, Circuit Court, 11th Judicial Circuit (Appellate) in and for Miami-Dade County (Case No. 18-000032-AP-01) [26 Fla. [read post]
5 May 2010, 8:43 am
Capital Development, LLC, Case No. 1:09-cv-00632-BEL in the United States District Court for the District of Maryland. [read post]
9 Sep 2010, 10:40 pm
– Oracle files suit against Google claiming patent and copyright infringement (IP Whiteboard) Interval – More on Paul Allen and Interval (IPBiz) Leviton Manufacturing – Leviton files new 337 complaint regarding Certain Ground Fault Circuit Interrupters (ITC Law Blog) US Copyright News aggregation and copyright law (PlagiarismToday) Copyright 2.0 Show, Episode 166– ACTA, Righthaven, Google – AP deal (PlagiarismToday) Netflix polls BitTorrent habits of leaving… [read post]
17 Dec 2008, 12:13 pm
Madoff Investment Securities LLC. [read post]
2 Sep 2015, 6:54 am
He’s listed as one of 13 initial defendants in that civil action mentioned earlier which has petitioned for class action status; the other defendants in that action are ITS Financial, LLC (“ITS”); TCA Financial, LLC (“TCA Financial”); TCA Capital, LLC (“TCA Capital”); Tax Tree, LLC (“Tax Tree”); James B. [read post]
