Blog
Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari to speak at 2016 PLI Securities Arbitration program
August 3, 2016
Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2016 Practicing Law Institute (PLI) conference program on Wednesday, September 28, 2016. The PLI Securities Arbitration program is held at the PLI New York Center and also online by webcast. The program brings together legal professionals with securities […]
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Market Drop Eliminates More than $2 Trillion from Investor Portfolios
June 27, 2016
The stock market rout is starting to get really expensive — destroying $2.3 trillion from the market’s top last year and $1.5 trillion in net wealth just this year. The giant companies that predominantly populate the Standard & Poor’s 500 have fallen an average of 8.9% this year — which, when translated into dollars, is real money. The S&P […]
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Kenneth Bolton and Sandlapper Complaints
March 8, 2016
Kenneth Bolton, a current broker-dealer at Sandlapper Securities in Greenville, South Carolina. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck, Bolton allegedly breached fiduciary duty, misrepresented and omitted material facts, recommended unsuitable investments, and executed unauthorized trades, among other transgressions. Bolton was registered with the following firms: American Eagle Securities, First Investors Corporation, E.F. […]
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SEC Completes Muni-Underwriter Enforcement Sweep
February 3, 2016
The Securities and Exchange Commission today announced enforcement actions against 14 municipal underwriting firms for violations in municipal bond offerings. The actions conclude charges against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. In all, 72 underwriters have been charged under the voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering […]
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Barclays, Credit Suisse Charged With Dark Pool Violations
February 1, 2016
The New York Attorney General’s office is announcing parallel actions against the two firms. Barclays agreed to settle the charges by admitting wrongdoing and paying $35 million penalties to the SEC and the NYAG for a total of $70 million. Credit Suisse agreed to settle the charges by paying a $30 million penalty to the […]
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