SEC News
- SEC Charges City of South Miami with Defrauding Investors About Tax-Exempt Status of Municipal Bonds May 22, 2013FOR IMMEDIATE RELEASE2013-91 Washington, D.C., May 22, 2013 — The Securities and Exchange Commission today charged the City of South Miami, Fla., with defrauding bond investors about the tax-exempt financing eligibility of a mixed-use retail and parking structure being built in its downtown commercial district. Additional Materials SEC Order An SEC investiga […]
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
TAG | options trading losses
7
Did You Invest in Options with Whitney Thatcher of Kovack Securities?
Comments off · Posted by Securities Lawyer in FINRA
The Soreide Law Group is currently investigating claims on behalf of Kovack
Securities clients who invested in options with Whitney Thatcher in the firm’s Henderson, Nevada office.
If you have suffered substantial losses due to Mr. Thatcher’s options
recommendations, you may have a claim for recovery. Give us a call to
discuss your potential claim.
To contact Soreide Law Group call: (888) 760-6552, or visit our website and complete our online form at: http://www.securitieslawyer.com.
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23
Elevation LLC, Fined and Censured by FINRA
Comments off · Posted by Securities Lawyer in FINRA
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
brokerage supervisory deficiencies · Elevation Charlotte NC · Elevation LLC · failing to comply with registration and customer agreements · failure to · Failure to notify FINRA of ROP resignation · failure to supervise brokers · failure to supervise company policies · Financial Industry Regulatory Authority · FINRA · FINRA Rule 2360 · fort lauderdale securities fraud lawyer · high risk investments · inadequate supervisory procedures by broker/dealers · Lars Soreide · Options business without registered ROP · options rule · options trading losses · Registered Options Principal · risky investments · ROP · securities lawyer · Soreide Law Group PLLC · Stock fraud lawyer · stockbroker misconduct · trading options
17
Did You Invest in Foresee Strategies Insurance Funds?
Comments off · Posted by Securities Lawyer in FINRA
Soreide Law Group, PLLC is currently investigating potential claims related to the Foresee Strategies Insurance Funds 3(c)(1) and 3(c)(7), which were offered via an annuity issued by Sun Life Financial and sold to investors by SagePoint Financial, Inc. and other securities brokerage firms.
Foresee Strategies Insurance Funds were part of the SALI Multi-Series Funds 3(c)(1) and 3(c)(7), L.P. The general partner of the Foresee Strategies Funds was SALI Fund Partners, LLC, and the Investment Manager was SALI Fund Management, LLC.
On May 5, 2010, the Foresee Strategies Insurance Funds were closed after experiencing tremendous losses due to options trading on the S&P 500. Investors could have suffered losses of up to 100% of their investment.
Securities Attorney, Lars Soreide, of Soreide Law, PLLC, has represented clients nationwide. If you or a family member have experienced losses through Foresee Strategies Insurance Funds, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses. To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.
Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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