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Indiana Securities Division
2.313 documents for Indiana Securities Division
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INDIANAPOLIS -- UBS Financial Services agreed to pay Indiana regulators $677,000 on Thursday to settle a claim that it sold "unsuitable investments" to a now defunct teachers union health care trust. The claim stems from the $16.2 million that the Indiana State Teachers Association Insurance Trust invested in 13 private equity funds from 2004 to 2009. A consent settlement signed by UBS and the Indiana Securities Division shows that the company agreed to pay a $450,000 fine and $227,000 in costs.
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... exemption under the Indiana Uniform Securities Act (the "Indiana USA") from registration of certa... past 12 months (the Indiana Securities Division defines a "client" as a fund, not investors in the...
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Elizabeth Block, Craig Goettsch and Tom Michlovic Re-elected to Serve as IPT Trustees for additional terms WASHINGTON, March 2, 2011 /PRNewswire-USNewswire/ -- Indiana Securities Commissioner Chris Naylor is the newest trustee of the Investor Protection Trust (IPT), a national nonprofit organization devoted to providing objective information needed by investors to make informed investment decisions.
... one of the Secretary of State's largest divisions. Naylor supervises the enforcement, registration, ...
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...U.S. Atty. (argued), Indianapolis, IN, for the U.S. Lesa L. Johnson, Indianapolis, I...The Securities Division of the Indiana Secretary of State's Offic...
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... exemption under the Indiana Uniform Securities Act (the "Indiana USA") from registration of certa... past 12 months (the Indiana Securities Division defines a "client" as a fund, not investors in the...
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...Some securities lawyers say promoters can serve a valuable purpose... adviser with the Indiana Securities Division. Thompson's Parabolic Investment Fund LP, a hedge ...
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...(61) In cases such as the Supreme Court of Indiana's opinion in Wright v. State (62) and the opinion ...Prewitt. (258) In Prewitt, the Securities Division of the Indiana Secretary of State's Offic...
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Madison native Chris Naylor on Oct. 5 became Indiana's securities commissioner. He was appointed by Indiana Secretary of State Todd Rokita to succeed O. Wayne Davis, who now is a semi-retired legal consultant. Naylor, former county prosecutor in two southern Indiana counties, sat down with IBJ to talk about his goals as the state's top securities cop. The following is an edited version of that interview.
... from those two acts that the Securities Division draws its legislative powers. Investor education i...
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Trial court did not err in granting summary judgment in favor of appellees.
... did not comply with federal or state securities laws. He further averred that appellant had not r... issued were not registered with the Ohio Division of Securities. . In addressing appellant's argumen..., presumably at its home office in Indiana. Further, the magistrate noted that the trial cou...
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A securities attorney who reviewed the offering circular for the certificates at IBJ's request said that - because of the related-party loans, the lack of audited financials, a confusing presentation of financial information, and other problems - the Ohio Division of Securities shouldn't be permitting their sale. Tim Durham Age: 47 Profession: leveraged-buyout specialist Positions: * CEO, Indianapolis-based Obsidian Enterprises Inc. * CEO, Akron, Ohio-based Fair Finance Co. * chairman, Dallas-based CLST Holdings Inc. * acting CEO, Los Angeles-based National Lampoon Inc. Education: mathematics and law degrees from Indiana University Hometown:
