Tag Archives: Fund

Silver Law Group Files Claim Against Westpark Capital and Brokers Concerning the Horizon Select Technology Fund

Silver Law Group has filed a FINRA arbitration claim against Westpark Capital, Inc. (CRD# 39914) and its brokers, Adam D. Brown (CRD# 4506309) and John A. Orlando (CRD#  2002197) for recommending the private placement investment Horizon Select Technology Fund. The … Continue reading

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Former Broker-Dealer John Jumper Indicted on Federal Charges of Embezzling From Pension Fund

John Jumper, a former Memphis, Tennessee-based broker-dealer has been indicted on federal charges of embezzling $5.7 million from a Pennsylvania company’s employee pension fund. Federal prosecutors in Williamsport, Pennsylvania and securities regulators in Atlanta jointly issued news releases announcing charges … Continue reading

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The Importance of Free Enterprise Fund v. PCAOB – Law & Liberty

Announced eight years ago, the Supreme Court’s decision in Free Enterprise Fund was an extremely important opinion for originalism and for the stricter separation of powers approach (which is sometimes known as formalism). While the decision is too complicated to … Continue reading

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IM Director Blass gives updates on board outreach, ETF, and index fund issues

By Lene Powell, J.D. Division of Investment Management staff is “firing on all cylinders” on many projects including engaging with boards of directors and developing new valuation guidance, working to get an ETF rule on the books, and refining the … Continue reading

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ICON ECI Fund Fifteen LP – Secondary Market Sales $121.00/unit

Securities Fraud Investigation – ICON ECI Fund Fifteen LP Have you suffered losses investing in ICON ECI Fund Fifteen LP at the recommendation of you financial advisor? If so, the securities attorneys at The White Law Group may be able … Continue reading

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