Readers will recall my exploits with the SEC‘s ALJ system a few years back, where my client, and others, were forced into that system rather than federal court, lost at trial with significant procedural and due process right violations. We appealed to the Commission, argued the appeal before the Commission […]
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SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. Martinsen, Michael A. Castillero, Francine A. Lanaia, and… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
Allianz and Portfolio Managers Charged with Multibillion Dollar Securities Fraud
The SEC has charged Allianz Global Investors U.S. LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading strategy they called “Structured Alpha.” AGI US marketed and sold the strategy to approximately 114 institutional investors, […]
Representation of Investors in EminiFX
According to the US Attorney for the Southern District of New York, and the Commodity Futures Trading Commission, Eddy Alexandre the leader of a purported cryptocurrency and forex trading platform called EminiFX, has been charged with commodities fraud and wire fraud offenses. The CFTC also obtained an order from the […]
Work-from-home stocks are getting crushed
News from CNN.com News: What you need to know about the markets Work-from-home stocks are getting crushed You remember the early days of the pandemic, when millions of office workers started doing their jobs from home for the first time. Read more » Here’s what’s getting more expensive at […]
Hedge Fund
A hedge fund is a type of private investment partnership that generally invests in a diverse range of securities and typically has more flexible investment strategies than mutual funds. A fund may employ a single strategy or multiple strategies for flexibility, risk management, or diversification. The hedge fund’s prospectus, also […]
Fund of Funds
A fund of funds is a type of pooled investment vehicle that primarily invests in other funds, instead of directly investing in securities of operating companies, often with the goal of achieving improved asset allocation, diversification, or other investment objectives. Like all other pooled investment products, these funds are regulated […]
Convertible Note
A convertible note, which is a type of security, is a loan made by an investor to a company that can be converted into a different security, typically common or preferred stock. Convertible notes are often used during seed rounds because of challenges valuing a company early in its life […]
Common Stock
Common stock is a type of security that represents an ownership interest—or equity—in a company. Holders of common stock have rights that typically include the right to vote to elect members to a company’s board of directors and to vote on certain corporate actions (such as takeover bids), and may […]
Assets Under Management (AUM)
AUM is the total value of assets for which an investment adviser provides certain kinds of investment advice.
