Provident royalties liquidating trust

Alan Wolper, a lawyer for the firm and a partner at Locke Lord LLP, said that the fallout from Provident was an issue for Boogie, but the much larger hurdle was keeping up with the cost of regulation for a small, one-man firm. The Boca [Raton] office is particularly aggressive and intrusive,” he said.

The 52 broker-dealers are left to deal with a horde of complaints, almost all of them filed in the Northern District of Texas.Besides Boogie Investment, firms that folded this year include the Workman Securities Corp. and Investlinc Securities LLC/Meadowbrook Securities LLC in August, and Cap West Securities Inc. The Provident private placements wiped out investors as well as damaged broker-dealers.In 2009, the Securities and Exchange Commission, or SEC, charged Provident with three counts of fraud, as well as unjust enrichment.By using this site, you consent to the terms of KCC's Terms of Use and Privacy Statement regarding the use and processing of personal information, and any and all other terms that may be set forth on this site concerning the collection of personal information.If you do not agree to these terms, you should not use this site.

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