Search for: "AWC Holding Company"
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19 Sep 2018, 3:43 pm
He was the previous chief financial officer of DJB Holdings, Bennett’s investment firm. [read post]
20 Aug 2018, 1:40 pm
The third offering’s PPM did not disclose that the companies that received their funds, the firm and its holding company, were deeply in debt. [read post]
5 Nov 2015, 8:43 am
Williams’ participation in the transactions included responding to customer requests related to investments in a company, authorizing wire transfers of funds from customer accounts at the firm to the company, and manually adding customers’ outside company holdings to consolidated statements that were sent to the customers. [read post]
1 Sep 2023, 6:07 am
Roberts signed an Acceptance, Waiver & Consent (AWC) Letter on 1/8/2010. [read post]
15 Apr 2013, 1:02 pm
-based Company that turned out to be a Ponzi scheme that had marketed $2.2 billion in notes to more than 20,000 investors nationwide. [read post]
4 Mar 2021, 11:47 am
” According to the suit, Horsman used some of the business’ capital to purchase a Canadair LTD CL-600 Challenger private jet, embellished with the name of his own investment firm, “Horsman Holdings. [read post]
4 Jan 2022, 9:34 am
Bowman signed an Acceptance Waiver and Consent Letter (AWC), neither admitting nor denying the allegations. [read post]
5 Mar 2018, 1:23 pm
Further, the firm did not have any exception reports or surveillance tools to monitor holding periods for non-traditional ETFs. [read post]
21 Mar 2022, 11:09 am
The AWC notes that Geneos permitted the sale of LJM on its platform without conducting reasonable due diligence of the company and without a sufficient understanding of its risks and features, including the fact that the fund pursued a risky strategy that relied, in part, on purchasing uncovered options. [read post]
22 Sep 2020, 2:32 am
Turner according to the AWC. [read post]
22 Sep 2020, 2:32 am
Turner according to the AWC. [read post]
1 Dec 2020, 11:11 am
In a Letter of Acceptance, Waiver & Consent (AWC) on January 16, FINRA alleged that between 2009 and 2017, a New Jersey broker purportedly wire-transferred $1.4 million in more than 60 transactions from a New Hampshire widow who was reportedly disabled, to the bank account of his limited liability company and to a law firm. [read post]
10 Apr 2023, 11:49 am
There were reportedly two other offerings that also had issues with lack of due diligence, according to the AWC. [read post]
20 Jul 2023, 10:45 am
According to Smart Asset, the company has $17 billion in assets under management. [read post]
27 Aug 2023, 7:49 pm
February 2018 – FINRA issued an AWC in which Western International was censured, fined $125,000 and ordered to pay $521,098.10, plus interest, in restitution to customers. [read post]
