New jersey securities

New jersey securities

New jersey stock fraud attorney new york securities fraud

A former enforcement attorney from a state securities regulator, a former mutual fund and broker-dealer compliance director and corporate secretary, and a member of the NYSE and NASD Boards of Arbitrators are among the attorneys in the Investment Management & Securities Practice Group.
Investment advisors, financial planners, and accredited public accounting companies are represented by the Investment Management & Securities Practice Group’s Investment Advisor Regulation practice in the United States. Our lawyers often comment on related topics at industry enforcement conferences and CPA-CPE programs, as well as in the local and national press. Adviser representation before the SEC, CFTC, and Department of Labor is also part of the Investment Adviser Regulation practice. We’ve helped clients get exemptive, no-action, and interpretive relief, as well as helping them with regulatory examinations and representing them in compliance proceedings.
Over the last ten years, Stark & Stark attorneys have given numerous investment-related seminars to investment advisors, financial managers, and accountants on topics like investment manager registration, investment advisory agreements, investment suitability, state/federal enforcement concerns, avoiding investor and regulatory grievances, and possible conflicts of interest.

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(1) Any immunity (including a revenue obligation) granted or assured by the United States, any state, any political subdivision of a state, or any agency, corporate, or other instrumentality of one or more of the foregoing, or any certificate of deposit for any of the foregoing; or any certificate of deposit for any of the foregoing.
(2)Any protection provided or guaranteed by Canada, any Canadian province, any political subdivision of any such province, any agency, corporate, or other instrumentality of one or more of the above, or any other foreign government with which the US currently maintains diplomatic ties, if the security is recognised as a valid obligation by the issuer or guarantor;
(3)Any security issued by a bank, savings institution, or trust company organized and supervised under the laws of any state or the laws of the United States, and representing an interest in or a debt of, or secured by, such a bank, savings institution, or trust company;
(7)Any security issued or guaranteed by any railroad, other common carrier, public utility, or holding company that is I a registered holding company under the “Public Utility Holding Company Act of 1935” or a subsidiary of such a company within the meaning of that act; (ii) regulated in respect to its rates and charges by a governmental authority of the United States or any state; or (iii) regulated in respect to its rates and charges by any governmental authority of the United States or any state

First jersey securities commercial (1985)

HILLSIDE, NEW JERSEY – On Wednesday, Attorney General Gurbir S. Grewal and the New Jersey Bureau of Securities, which is part of the Division of Consumer Affairs, announced that the Bureau had filed a seven-count lawsuit against a Hillside financial consultant and his company, alleging that he defrauded at least 57 investors out of nearly $2.2 million through the fraudulent sale of unregistered securities and then used most of the money for personal gain.
Owusu A. Kizito, of Hillside, is accused of defrauding his clients by selling unregistered securities as investments in his business, Investigroup, LLC, a management consulting firm based in New Jersey with offices in New York, Oman, China, and Ghana.
Kizito is accused of diverting at least $960,500 into the bank account of his unrelated non-profit, Investigroup NP, as well as making substantial cash withdrawals, payments for personal credit cards, payments for his home mortgage and property taxes, and payments for his luxury sports car with investor funds.

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ACT DEFINED; TITLE AMENDED

How would a new jersey fiduciary rule affect you?

This act modifies and completes the “The “Uniform Securities Law (1967)” shall be known as the “Uniform Securities Law” and may be quoted as such (1997).

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” The term “Act” refers to the 1997 law amending and supplementing the “Uniform Securities Law (1967).”
(d)”Capital” means net capital, as specified and adjusted by the Securities and Exchange Commission in Rule 15c3-1, 17 C.F.R. s.240.15c3-1, promulgated pursuant to the “Securities Exchange Act of 1934,” prescribing a minimum permissible ratio of aggregate indebtedness to net capital, as such formula currently exists or as it may be amended; (e)”Fraud,” “deceit,” “deception,” In addition to the usual construction of these terms accepted in courts of law and equity, “fraud,” “deceit,” and “defraud” shall include the following, provided, however, that any promise, representation, misrepresentation, or omission is made with knowledge and intent to deceive or with reckless disregard for the truth and results in a detriment to the purchaser or client of a service.

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