Search for: "In Interest of LJMS"
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21 Mar 2022, 11:09 am
While Geneos learned of the delays, the firm purportedly sold a limited number of limited partnership interests in GPB Automotive Portfolio after that announcement, according to FINRA’s findings. [read post]
3 Jun 2021, 6:20 am
The complaint seeks permanent injunctions, disgorgement with prejudgment interest, and civil penalties. [read post]
31 Mar 2021, 9:16 am
Cambridge also was ordered to pay a restitution of $3.13 million plus interest; and Securities America was ordered to pay a restitution of $235,979 plus interest. [read post]
30 Mar 2021, 11:39 am
According to a Letter of Acceptance Waiver and Consent (AWC) posted by FINRA on March 29, 2021, the regulator has censured and fined Cambridge Investment Research $400,000 for supervisory violations in connection with the recommendations of an alternative mutual fund – the LJM Preservation and Growth Fund (LJM) The firm was also ordered to pay restitution of $3,134,354.82 plus interest and establish and implement policies, procedures, and internal… [read post]
30 Mar 2021, 9:39 am
In addition to the censure and fine the firm has established and implemented policies, procedures, and internal controls reasonably designed to address and remediate the issues; a $100,000 fine; and restitution of $235,979.77 plus interest as described below. [read post]
30 Mar 2021, 10:50 am
. $50,000 for supervisory violations in connection with the recommendations of an alternative mutual fund – the LJM Preservation and Growth Fund (LJM) The firm was also ordered to pay restitution of $163,527 plus interest and establish and implement policies, procedures, and internal controls reasonably designed to address and remediate the issues identified in this AWC. [read post]
3 Mar 2022, 9:33 am
The SEC seeks a permanent injunction, disgorgement including prejudgment interest, and civil penalties. [read post]
8 Apr 2022, 7:52 am
The self-regulatory organizations’ (SRO’s) case against Geneos is also over its sales of the LJM Preservation & Growth Fund to customers. [read post]
13 Nov 2008, 2:58 pm
These homeowners are still required to ultimately pay off the interest deferred during the extension period. [read post]
16 Aug 2023, 9:04 am
The firm paid restitution of $235,979.77 plus interest. [read post]
1 Aug 2013, 11:00 am
Cook Medical Incorporated, Civil Action No. 1:12-cv-01630-LJM-DKL, which was initiated by a complaint making similar allegations, is currently pending before the same court. [read post]
5 Jul 2023, 12:52 pm
In addition to the censure and $100,000 fine, FINRA ordered Hightower pay a partial restitution of $133,600, plus interest to certain customers who purchased GPB Capital and restitution of $119,577.40 plus interest to two customers who purchased LJM. [read post]
22 Jul 2008, 12:45 pm
Because the risk to the creditor is higher, the interest rate and penalties associated with subprime mortgages will also generally be higher. [read post]
28 Mar 2007, 6:27 am
According to the commission, the misconduct concerned Enron's 1999 sale of an interest in a troubled power project in Cuiaba, Brazil, to a related party called LJM Cayman (a.k.a. [read post]
29 Jul 2008, 3:08 pm
Among the types of agreements that must be in writing are those conveying an interest in real estate (other than a lease for a term not exceeding a year) and a contract to pay compensation for services rendered in negotiating a purchase and sale of real estate. [read post]
8 Aug 2008, 2:05 pm
Among the types of agreements that must be in writing are those conveying an interest in real estate (other than a lease for a term not exceeding a year) and a contract to pay compensation for services rendered in negotiating a purchase and sale of real estate. [read post]
8 Aug 2008, 2:11 pm
Quite surprisingly, however, under certain circumstances an oral agreement concerning the transfer of a real estate interest may be enforceable. [read post]
17 Jul 2008, 10:07 am
Quite surprisingly, however, under certain circumstances an oral agreement concerning the transfer of a real estate interest may be enforceable. [read post]
30 Mar 2007, 8:00 am
Mintz is also accused of delaying the closure of the resale for a number of months until after Fastow had sold his interest in LJM Partnerships so that Enron wouldn't have to reveal that the deal was done with an Enron officer. [read post]
29 Mar 2023, 12:50 am
The White Law Group helps clients navigate the arbitration process and represent their interests throughout the proceedings. [read post]
