John Waszolek charged by Arizona Corporation Commissioner. On July 8, 2016 the Corporation Commissioner for the state of Arizona, acting through the Securities Division charged John Waszolek, a former registered representative with Morgan Stanley and Raymond James with violations of the Securities Act of Arizona, specifically section 44-1801. The Securities…
Community National Bank IRA Custodian for self directed retirement accounts The use of self directed IRAs has soared in the past ten years. IRA custodians like Community National Bank allow individuals to make their own investment decisions with their IRA funds. Investors looking for non-traditional investments can roll “qualified” pretax…
Update on Lawsuit against Kingdom Trust Company A lawsuit filed in the US District Court for the Southern District of Ohio against Kingdom Trust Company for its role (or lack thereof) in the William Apostelos ponzi scheme has been the subject of intense motion practice between the parties. At issue…
South Carolina Securities Laws The South Carolina securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The South Carolina securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must…
Illinois Securities Laws The Illinois securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Illinois securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Idaho Securities Laws The Idaho securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Idaho securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Hawaii Securities Laws The Hawaii securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Hawaii securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Georgia Securities Laws The Georgia securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Georgia securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Delaware Securities Laws The Delaware securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Delaware securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…
Connecticut Securities Laws The Connecticut securities laws serve two primary purposes; to regulate the raising of capital in the state, and to provide protections for investors. The Connecticut securities laws can be accessed here. Corporations and individuals who raise money from investors, or provide investment advice must be registered with…