Search for: "SEC v. National Securities, Inc." Results 21 - 40 of 482
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Australia National Bank to claims involving the extraterritorial reach of the federal securities laws. [read post]
11 Jun 2011, 10:12 pm
The nation’s highest court has decided not to review three federal appeals court rulings that brought up the securities law issues of disclosure obligations and antifraud liability. [read post]
26 Jul 2017, 7:39 am by Renae Lloyd
Behringer Harvard Opportunity REIT II Inc. has changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc., according to recent SEC filings. [read post]
18 Jan 2022, 12:04 am by The White Law Group
  The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
12 Sep 2017, 1:02 pm by Renae Lloyd
According to SEC filings, in July, Behringer Harvard Opportunity REIT II Inc. changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc. [read post]
20 Sep 2018, 12:46 pm by David Cosgrove
The Securities and Exchange Commission (“SEC”) affirmed a Financial Industry Regulatory Authority (“FINRA”) Decision in which EKN Financial Services Inc. stockbroker, Louis Ottimo, was assessed a $25,000.00 fine and two-year suspension in all capacities pursuant to findings that he willfully failed to accurately and timely update his Uniform Application for Securities Industry Registration or Transfer (“Form U4”) to reflect… [read post]
4 Feb 2016, 7:58 am by Mark Astarita
“Small businesses play a crucial role in our nation’s economy,” said SEC Chair Mary Jo White. [read post]
28 Jun 2018, 5:32 am
(FINRA National Adjudicatory Council Decision, Complaint No. 2009017440201  / March 15, 2017) set forth in the preamble of the SEC Opinion:Louis Ottimo, a former registered representative with EKN Financial Services Inc. (“EKN”), a former FINRA member firm, seeks review of a FINRA disciplinary action finding that he fraudulently omitted information from his biography in a… [read post]
11 Jan 2014, 9:43 am by John Elwood
(John Elwood) As promised, here is the brief submitted by a second group of professors, together with former SEC Commissioners, in Halliburton Inc. v. [read post]