Search for: "Provident Royalties, LLC"
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7 Jul 2009, 8:34 am
It is alleged by the Securities and Exchange Commission (SEC) that Provident Royalties, LLC, a Dallas, Texas based company owned and controlled by Paul R. [read post]
26 Feb 2010, 8:23 pm
On February 26, 2010, the Chapter 11 trustee for the Provident Royalties LLC, et al. bankruptcy matter submitted a proposed plan that would, among other things, ask investors to assign any rights they may have against third parties such as stockbrokers who made unsuitable recommendations to invest in securities offered by Provident Royalties and Provident Asset Management. [read post]
29 Jun 2010, 1:47 pm
., filed the lawsuit in federal bankruptcy court in Dallas against the broker-dealers, alleging they andquot;failed miserably in upholding their fiduciary obligationsandquot; when selling the series of Provident Royalties LLC private placements. [read post]
21 Jul 2009, 11:56 pm
Roossien, Jr. as the chapter 11 trustee for the estates of Provident Royalties, LLC and its affiliates. [read post]
30 Jun 2010, 6:06 am
Segner Jr. - charges the broker/dealers of failing to uphold their fiduciary obligations when selling a series of Provident Royalties LLC private placements. [read post]
5 Jul 2010, 1:55 pm
At least 12 broker/dealers that sold private placements issued by Provident Royalties LLC are now either out of business or no longer sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
31 Mar 2010, 6:09 am
FINRA, the Financial Industry Regulatory Authority, has announced that it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
4 Jan 2011, 7:32 am
The attorneys at Eccleston Law are continuing their investigation into Provident Royalties, LLC following the SEC allegation of a $485 million offering fraud and Ponzi scheme orchestrated by three Dallas businessmen through Provident Royalties. [read post]
19 May 2011, 2:30 pm
Turner involving its sales of interests in Provident Royalties LLC (which offered oil and gas deals and which has been the... [read post]
12 Jul 2010, 8:05 am
Private-placement sales in Provident Royalties LLC have come back to haunt many once-successful broker/dealers. [read post]
8 Jul 2009, 7:36 am
SNSFE attorneys are investigating Provident Royalties, LLC after the Securities and Exchange Commission obtained an emergency asset freeze. [read post]
16 Sep 2009, 6:18 am
Now it's Provident Royalties LLC making news. [read post]
22 Mar 2010, 4:19 pm
Six broker/dealers are in hot water with Massachusetts Secretary of State William Galvin over sales of private placements in Medical Capital Holdings and Provident Royalties LLC. [read post]
28 Apr 2011, 6:35 am
According to court documents, CapWest brokers sold about $22 million of private placements issued by Provident Royalties LLC. [read post]
5 Jun 2010, 8:57 am
Sales of private placements in Provident Royalties LLC have come back to haunt broker/dealer Okoboji Financial Services. [read post]
25 Jan 2011, 6:10 pm
Combining the pending litigation, which involves sales by broker/dealers of Provident Royalties LLC private placements, could save them millions of dollars in damages and legal fees, according to the Investment News story. [read post]
30 Mar 2010, 5:13 am
In March 2010, the Financial Industry Regulatory Authority (FINRA) expelled Provident Asset Management LLC, the broker-dealer arm of Provident. [read post]
8 Sep 2023, 10:19 am
In the case of Samson Exploration, LLC v. [read post]
18 Mar 2010, 4:46 pm
FINRA announced today that it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
2 Jun 2012, 12:00 pm
It is being reported that Brendan Coughlin and Henry Harrison, two co-founders of Provident Royalties LLC, have been fined $50,000 each and suspended from the securities industry for two years, according to a settlement with the Financial Industry Regulatory Authority Inc. [read post]
