Securities Law
The Securities and Exchange Commission today announced that Blackbaud Inc., a South Carolina-based public company that provides donor data management software to non-profit organizations, agreed to pay $3 million to settle charges for making misleading… Full report at: Read More
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The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 96 soliciting entities, three impersonators of genuine firms, and… Full report at: Read More
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The Securities and Exchange Commission today announced charges against global mining and metals company, Rio Tinto plc, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme involving a consultant in Guinea. The… Full report at: Read More
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The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC… Full report at: Read More
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Wolper Law Firm P.A. Fort Lauderdale, FL (Law Firm Newswire) February 14, 2019 – It is very important for the general public to obtain accurate information about the financial advisors who help them to manage their assets and wealth. Yet, the Financial Industry Regulatory Authority (FINRA) makes it difficult for reputable and honest brokers to…
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Ajamie LLP Houston, TX (Law Firm Newswire) November 2, 2018 – U.S. News & World Report and Best Lawyers have collaboratively released their “Best Law Firms” rankings for 2019, recognizing Ajamie LLP as a Best Law Firm in the areas of Commercial Litigation and Corporate Law. The ninth edition of Best Law Firms features law…
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Wolper Law Firm P.A. Fort Lauderdale, FL (Law Firm Newswire) June 19, 2019 – The Wolper Law Firm is currently investigating potential claims against various brokerage firms that received a total of $100 million in commissions by recommending their clients invest in private placement securities issued by GPB Capital Holdings. GPB Capital Holdings, LLC is…
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Wolper Law Firm P.A. Fort Lauderdale, FL (Law Firm Newswire) June 14, 2019 – Wolper Law Firm, P.A. announces that it is investigating brokerage firm Buckman, Buckman & Reid regarding its investment sales practices with retail customers. Buckman, Buckman & Reid is a brokerage firm founded in 1988 by H. John Buckman and John Reid.…
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Houston, TX (Law Firm Newswire) May 17, 2019 – In a spirited discussion on MSNBC’s Velshi & Ruhle program on May 15, 2019, Tom Ajamie discussed how President Trump’s tweets drive the financial markets and the potential legal jeopardy for Trump and people in his inner circle. “Look, he can move markets,” said Ajamie. “He…
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Wolper Law Firm P.A. Fort Lauderdale, FL (Law Firm Newswire) May 9, 2019 – A margin loan refers to money that an investor borrows from a brokerage firm. The margin loan is collateralized by the assets held in the customer’s investment account (i.e., securities). Customers are generally free to use the margin loan to buy…
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