United States securities law

Shepherd Smith Edwards and Kantas Represents Mexican Investor Seeking $500k in Damages Related to J.P. Morgan Securities' Recommendation of Old Mutual Bermuda

Retrieved on: 
Thursday, July 15, 2021

The off-shore entity is owned by Greg Lindberg's Global Bankers, which also owns Northstar Financial Services (Bermuda).

Key Points: 
  • The off-shore entity is owned by Greg Lindberg's Global Bankers, which also owns Northstar Financial Services (Bermuda).
  • In this Old Mutual Bermuda fraud claim, the claimant is seeking up to $500K in damages.
  • Old Mutual (Bermuda), like Northstar Financial Services (Bermuda), has paid high commissions and other fees and remunerations to the brokerage firms that sold their products.
  • To determine whether you may have grounds for a FINRA arbitration case over your Old Mutual (Bermuda) losses, contact us below:

ICO "Listing" Website Charged With Unlawfully Touting Digital Asset Securities

Retrieved on: 
Wednesday, July 14, 2021

Washington, D.C.--(Newsfile Corp. - July 14, 2021) - The Securities and Exchange Commission today announced settled charges against the operator of Coinschedule.com, a once-popular website that profiled offerings of digital asset securities.

Key Points: 
  • Washington, D.C.--(Newsfile Corp. - July 14, 2021) - The Securities and Exchange Commission today announced settled charges against the operator of Coinschedule.com, a once-popular website that profiled offerings of digital asset securities.
  • The SECs order finds that United Kingdom-based Blotics Ltd. violated the anti-touting provisions of the federal securities laws by failing to disclose the compensation it received from issuers of the digital asset securities it profiled.
  • In reality, the token issuers paid Coinschedule to profile their token offerings on Coinschedule.com, a fact that Coinschedule failed to disclose to visitors.
  • The securities law prohibiting touting securities for compensation without appropriate disclosures to investors is clear and longstanding.

ROSEN, A TOP RANKED LAW FIRM, Encourages Home Point Capital Inc. Investors to Secure Counsel Before Important August 20 Deadline in Securities Class Action – HMPT

Retrieved on: 
Wednesday, July 14, 2021

WHAT TO DO NEXT: To join the Home Point class action, go to http://www.rosenlegal.com/cases-register-2110.html or call Phillip Kim, Esq.

Key Points: 
  • WHAT TO DO NEXT: To join the Home Point class action, go to http://www.rosenlegal.com/cases-register-2110.html or call Phillip Kim, Esq.
  • WHY ROSEN LAW: We encourage investors to select qualified counsel with a track record of success in leadership roles.
  • The 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.

SHRM Introduces ‘SHRM 401(k) Solutions by Raymond James®’ Enabling Small Businesses to Relieve Burden of Offering 401(k)

Retrieved on: 
Wednesday, July 14, 2021

HR professionals lack both the time and, in many cases, the prudent expertise to administer and manage the complexities of offering a 401(k).

Key Points: 
  • HR professionals lack both the time and, in many cases, the prudent expertise to administer and manage the complexities of offering a 401(k).
  • SHRM 401(k) Solutions by Raymond James works side by side with employers, strengthening retirement plan administration and supporting the financial wellness of millions of employees and their families.
  • Securities offered through Raymond James Financial Services, Inc., member FINRA/SIPC or Raymond James & Associates, Inc., member NYSE/SIPC each a broker-dealer registered with the Securities and Exchange Commission (SEC).
  • Investment advisory services offered through Raymond James Financial Services Advisors, Inc. or Raymond James & Associates, Inc. each an investment adviser registered with the SEC.

Amplitude Announces Confidential Submission of Draft Registration Statement for Proposed Direct Listing

Retrieved on: 
Wednesday, July 14, 2021

SAN FRANCISCO, July 14, 2021 (GLOBE NEWSWIRE) -- Amplitude announced today that it has confidentially submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission (the SEC) relating to the proposed direct listing of its Class A common stock.

Key Points: 
  • SAN FRANCISCO, July 14, 2021 (GLOBE NEWSWIRE) -- Amplitude announced today that it has confidentially submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission (the SEC) relating to the proposed direct listing of its Class A common stock.
  • The direct listing is expected to take place after the SEC completes its review process, subject to market and other conditions.
  • This announcement does not constitute an offer to sell or the solicitation of an offer to buy any securities.
  • Any offers, solicitations or offers to buy, or any sales of securities will be made in accordance with the registration requirements of the Securities Act of 1933, as amended (the Securities Act).

ICE Bonds Connects to Investortools’ Perform Portfolio System

Retrieved on: 
Wednesday, July 14, 2021

Intercontinental Exchange, Inc. (NYSE: ICE), a leading global provider of data, technology and market infrastructure, today announced that ICE Bonds has integrated with Perform, Investortools fixed income portfolio platform.

Key Points: 
  • Intercontinental Exchange, Inc. (NYSE: ICE), a leading global provider of data, technology and market infrastructure, today announced that ICE Bonds has integrated with Perform, Investortools fixed income portfolio platform.
  • Customers will also operate in a straight-through-processing environment, with Perform providing pre-trade analytics and compliance, and trading through ICE Bonds execution platform.
  • Trademarks of ICE and/or its affiliates include Intercontinental Exchange, ICE, ICE block design, NYSE and New York Stock Exchange.
  • Securities products and services are offered through ICE Bonds Securities Corporation or ICE Bonds, member FINRA , MSRB, NFA and SIPC .

Generational Equity Advises South Florida Elevator Service in its Sale to American Elevator Group

Retrieved on: 
Wednesday, July 14, 2021

Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, South Florida Elevator Service to American Elevator Group.

Key Points: 
  • Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, South Florida Elevator Service to American Elevator Group.
  • Located in Miami, Florida, South Florida Elevator Service (SFES) specializes in affordable solutions for clients vertical conveyance needs.
  • American Elevator Group (AEG), is a collection of well-established elevator service companies operating across the United States.
  • Generational Equity , Generational Capital Markets (member FINRA/SIPC), Generational Wealth Advisors , Generational Consulting Group , 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.

OTC Markets Group Welcomes Ascend Wellness Holdings, Inc. to OTCQX

Retrieved on: 
Wednesday, July 14, 2021

NEW YORK, July 14, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Ascend Wellness Holdings, Inc .

Key Points: 
  • NEW YORK, July 14, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Ascend Wellness Holdings, Inc .
  • Shares of Class A common stock for Ascend Wellness Holdings, Inc. to begin trading on OTCQX under the symbol "AAWH."
  • About OTC Markets Group Inc.
    OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX Best Market, the OTCQB Venture Market and the Pink Open Market for 11,000 U.S. and global securities.
  • OTC Link ATS and OTC Link ECN are SEC regulated ATSs, operated by OTC Link LLC, member FINRA/SIPC.

OTC Markets Group Welcomes Fosterville South Exploration Ltd. to OTCQX

Retrieved on: 
Wednesday, July 14, 2021

NEW YORK, July 14, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Fosterville South Exploration Ltd. (TSX-V: FSX)(OTCQX: FSXLF), a gold exploration company, has qualified to trade on the OTCQX Best Market.

Key Points: 
  • NEW YORK, July 14, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 11,000 U.S. and global securities, today announced Fosterville South Exploration Ltd. (TSX-V: FSX)(OTCQX: FSXLF), a gold exploration company, has qualified to trade on the OTCQX Best Market.
  • Fosterville South Exploration Ltd. upgraded to OTCQX from the Pink market.
  • Fosterville South Exploration Ltd. begins trading today on OTCQX under the symbol "FSXLF."
  • OTC Link ATS and OTC Link ECN are SEC regulated ATSs, operated by OTC Link LLC, member FINRA/SIPC.

Golden Predator Provides Update on Arizona Gold Transaction

Retrieved on: 
Wednesday, July 14, 2021

2 Includes pro forma cash of $9.6M as at March 31, 2021 and pro forma equity investments calculated as at June 25, 2021, excluding transaction costs.

Key Points: 
  • 2 Includes pro forma cash of $9.6M as at March 31, 2021 and pro forma equity investments calculated as at June 25, 2021, excluding transaction costs.
  • Certain information contained herein constitutes forward-looking information or statements under applicable securities legislation and rules.
  • Such statements include, but are not limited to, statements with respect to the anticipated completion of the Transaction and the acquisition of the Marg Project.
  • Neither party will update any forward-looking statements or forward-looking information that are incorporated by reference herein, except as required by applicable securities laws.