United States securities law

ROSEN, NATIONAL TRIAL COUNSEL, Reminds Westpac Banking Corporation Investors of Important Deadline in Securities Class Action First Filed by the Firm – WBK

Retrieved on: 
Saturday, March 7, 2020
Legal, Professional services, Financial markets, Securities Class Action, Security, United States securities law, 73rd United States Congress, U.S. Securities and Exchange Commission, Robbins Geller Rudman & Dowd LLP, Milberg

Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Westpac Banking Corporation (NYSE: WBK) between November 11, 2015 and November 19, 2019, inclusive (the Class Period) of the important March 30, 2020 lead plaintiff deadline in the securities class action commenced by the firm.

Key Points: 
  • Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Westpac Banking Corporation (NYSE: WBK) between November 11, 2015 and November 19, 2019, inclusive (the Class Period) of the important March 30, 2020 lead plaintiff deadline in the securities class action commenced by the firm.
  • To join the Westpac class action, go to http://www.rosenlegal.com/cases-register-1762.html or call Phillip Kim, Esq.
  • Rosen Law Firm represents investors throughout the globe, concentrating its practice in securities class actions and shareholder derivative litigation.
  • 1 by ISS Securities Class Action Services for number of securities class action settlements in 2017.

Workforce Opportunity Services to Expand Security Industries Essentials Exam Training and Employment Program

Retrieved on: 
Friday, March 6, 2020
SIE, SIE, United States securities law, Professional certification in finance

NEW YORK, March 6, 2020 /PRNewswire/ -- Workforce Opportunity Services (WOS) - a leading non-profit organization attracting hidden talent that can be trained to fill outsourced consultant or employee roles recently announced that it will expand its training and employment program for the Security Industries Essentials Exam (SIE), helping launch a new wave of career-ready financial and insurance professionals.

Key Points: 
  • NEW YORK, March 6, 2020 /PRNewswire/ -- Workforce Opportunity Services (WOS) - a leading non-profit organization attracting hidden talent that can be trained to fill outsourced consultant or employee roles recently announced that it will expand its training and employment program for the Security Industries Essentials Exam (SIE), helping launch a new wave of career-ready financial and insurance professionals.
  • Within this new expansion, WOS will now provide training to include different exam levels in addition to the SIE exam: the SIE and Series 63, and the SIE, Series 63 and Series 6.
  • Since the SIE exam was introduced, WOS has successfully trained over 20 veterans to successfully pass the exam and become employed.
  • All participants in the program will receive an academic stipend, study materials, online course access, and the SIE exam registration.

CUSO Financial Services Receives BISA Technology Innovation Award for Business Texting Capabilities

Retrieved on: 
Thursday, March 5, 2020
United States securities law, Financial markets, Finance, Money, Brokerage firms, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Broker-dealer, Registered Investment Adviser, Cetera Financial Group

Presented this morning at the BISA Annual Convention in Hollywood, FL, this is the seventh consecutive year CFS/SPF has been recognized for technology innovation by BISA.

Key Points: 
  • Presented this morning at the BISA Annual Convention in Hollywood, FL, this is the seventh consecutive year CFS/SPF has been recognized for technology innovation by BISA.
  • The BISA Technology Innovation Award recognizes leadership in the advancement of the financial services industry's products, services and platforms through technology innovation.
  • CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC (Members FINRA / SIPC ) are full-service broker-dealers and subsidiaries of Atria Wealth Solutions.
  • CUSO Financial Services, LP ("CUSO Financial") and Sorrento Pacific Financial, LLC ("Sorrento Pacific") are registered broker-dealers (Member FINRA/SIPC), SEC Registered Investment Advisors, and subsidiaries of Atria Wealth Solutions, Inc. ("Atria").

Generational Equity Advises the Sale of AAA Box Co., Inc. to Continental Western Corporation

Retrieved on: 
Thursday, March 5, 2020
Consulting, Professional services, Finance, United States securities law, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Mergers and acquisitions, Economy of the United States, Economy, Government

Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, AAA Box Co., Inc. to Continental Western Corporation.

Key Points: 
  • Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, AAA Box Co., Inc. to Continental Western Corporation.
  • AAA Box Co., Inc. (AAA), located in Houston, Texas, is a supplier and distributor of stock and custom boxes, packaging products, and shipping supplies.
  • Continental Western Corporation (CWC) located in San Leandro, California, has been in business for almost 70 years.
  • Generational Equity , Generational Capital Markets (member FINRA/SIPC), Generational Wealth Advisors , and DealForce are part of the Generational Group , which is headquartered in Dallas and is one of the leading M&A advisory firms in North America.

Theta Lake Survey Highlights Why Communication Monitoring Failures and Regulatory Fines Will Increase

Retrieved on: 
Wednesday, March 4, 2020
Financial markets, Economy, Finance, United States securities law, Financial regulation, Regulatory technology, Financial Industry Regulatory Authority, Broker

You dont need to look far to see video communications at work in nearly every industry in 2020.

Key Points: 
  • You dont need to look far to see video communications at work in nearly every industry in 2020.
  • Compounding this regulatory focus, FINRA highlighted digital communications, including collaboration platforms, as a priority for its 2020 broker-dealer examinations.
  • Theta Lakes Survey provides an instructive tool for compliance officers grappling with the technology, regulatory, and governance requirements for procuring and deploying new video and collaboration platforms.
  • Theta Lake, a RegTech 100 company, provides cloud-based RegTech with compliance AI for video, voice, chat and other modern digital communications.

Generational Group Expands with New Office in Charlotte, NC

Retrieved on: 
Wednesday, March 4, 2020
Professional services, Small business, Finance, Consulting, Banking, Accounting, Securities Investor Protection Corporation, United States securities law, Investment banking, Economy of the United States, Economy, Federal government of the United States, Professional services, Small business, Finance, Consulting, Banking, Accounting, Securities Investor Protection Corporation, United States securities law, Investment banking, Economy of the United States, Economy, Federal government of the United States

Generational Group , a leading middle market investment bank for privately held businesses, is pleased to announce the continued expansion of the firm with the opening of a new office in Charlotte, North Carolina.

Key Points: 
  • Generational Group , a leading middle market investment bank for privately held businesses, is pleased to announce the continued expansion of the firm with the opening of a new office in Charlotte, North Carolina.
  • Mr. Sluiter serves as Managing Director, Mergers & Acquisitions in the South Eastern region at Generational, and works directly with private middle-market business owners in developing and executing exit strategies.
  • Prior to working with Generational, Sluiter owned a brokerage firm that specialized in the marketing and sale of main street and lower middle-market businesses.
  • The Charlotte office is located at:
    Generational Equity , Generational Capital Markets (member FINRA/SIPC), Generational Wealth Advisors , and DealForce are part of the Generational Group , which is headquartered in Dallas and is one of the leading middle market investment banks in North America.

ROSEN, A TOP RANKED LAW FIRM, Announces Filing of Securities Class Action Lawsuit Against HP Inc. – HPQ

Retrieved on: 
Tuesday, March 3, 2020
Securities Class Action, Security, U.S. Securities and Exchange Commission, 73rd United States Congress, Law, United States securities law

NEW YORK, March 03, 2020 (GLOBE NEWSWIRE) -- Rosen Law Firm, a global investor rights law firm, announces the filing of a class action lawsuit on behalf of purchasers of the securities of HP Inc. (NYSE: HPQ) between February 23, 2017 and October 3, 2019, inclusive (the Class Period).

Key Points: 
  • NEW YORK, March 03, 2020 (GLOBE NEWSWIRE) -- Rosen Law Firm, a global investor rights law firm, announces the filing of a class action lawsuit on behalf of purchasers of the securities of HP Inc. (NYSE: HPQ) between February 23, 2017 and October 3, 2019, inclusive (the Class Period).
  • To join the HP class action, go to http://www.rosenlegal.com/cases-register-1781.html or call Phillip Kim, Esq.
  • Rosen Law Firm represents investors throughout the globe, concentrating its practice in securities class actions and shareholder derivative litigation.
  • 1 by ISS Securities Class Action Services for number of securities class action settlements in 2017.

ROSEN, A GLOBALLY RECOGNIZED FIRM, Reminds Southwest Airlines Co. Investors of Important Deadline in Securities Class Action – LUV

Retrieved on: 
Tuesday, March 3, 2020
Legal, Professional services, Financial markets, Securities Class Action, Security, 73rd United States Congress, U.S. Securities and Exchange Commission, United States securities law, Robbins Geller Rudman & Dowd LLP, Grant & Eisenhofer

Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Southwest Airlines Co. (NYSE: LUV) between February 7, 2017 and June 25, 2019, inclusive (the Class Period) of the important April 20, 2020 lead plaintiff deadline in the securities class action.

Key Points: 
  • Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Southwest Airlines Co. (NYSE: LUV) between February 7, 2017 and June 25, 2019, inclusive (the Class Period) of the important April 20, 2020 lead plaintiff deadline in the securities class action.
  • To join the Southwest class action, go to http://www.rosenlegal.com/cases-register-1766.html or call Phillip Kim, Esq.
  • Rosen Law Firm represents investors throughout the globe, concentrating its practice in securities class actions and shareholder derivative litigation.
  • 1 by ISS Securities Class Action Services for number of securities class action settlements in 2017.

Shepherd, Smith, Edwards & Kantas Files Lawsuit Against Pruco Securities, Kalos Capital, and Broker Christopher Shaw for Wrongful Sale of Private Placements, including GPB Capital

Retrieved on: 
Tuesday, March 3, 2020
United States securities law, Financial Industry Regulatory Authority

Our client contends that Shaw presented himself as an expert in conservative investments and that he would employ a conservative risk strategy when handling her funds.

Key Points: 
  • Our client contends that Shaw presented himself as an expert in conservative investments and that he would employ a conservative risk strategy when handling her funds.
  • Instead, he used an overly aggressive strategy, including improperly allocating her assets and concentrating nearly 100% of her portfolio in private placements, including $250K in the GPB funds GPB Holdings II and GPB Waste Management.
  • The alternative asset firm remains under investigation by numerous regulatory bodies including FINRA, the US Securities and Exchange Commission (SEC) and the FBI.
  • GPB private placements are at the center of hundreds of broker fraud claims.

BIGG Digital Assets Inc. Subsidiary Blockchain Intelligence Group Joins The Anti-Human Trafficking Intelligence Initiative (ATII)

Retrieved on: 
Tuesday, March 3, 2020
Communication, Forward-looking statement, Auditing, SEC filings, United States securities law

Certain statements in this release are forward-looking statements, which include completion of the search technology software and other matters.

Key Points: 
  • Certain statements in this release are forward-looking statements, which include completion of the search technology software and other matters.
  • Forward-looking statements consist of statements that are not purely historical, including any statements regarding beliefs, plans, expectations or intentions regarding the future.
  • The forward-looking statements contained in this press release are made as of the date of this press release.
  • The CSE does not accept responsibility for the adequacy or accuracy of the content of this Press Release.