Glen Riddle Lima Securities Lawyer, Pennsylvania

967 A.2d 961 (2009). FOUNTAIN CAPITAL FUND, INC. v. PENNSYLVANIA SECURITIES COM'N. No. 274 WAL (2008). Supreme Court of Pennsylvania. March 24, 2009. Disposition of petition for allowance of appeal. Denied.

This appeal from a Commonwealth agency involves an untimely request for a hearing under a statute regulating sales and sellers of securities. In particular, Fountain Capital Fund, Inc. (Fountain Capital) and Garland Harris (Harris) (collectively, Petitioners) petition for review from an ...

This matter involves Schwalm's sale of viatical settlement contracts [2] and universal leases [3] that he sold, and the following facts are not in dispute: between June 1997 and September 1998, on behalf of Mutual Benefits Corporation (Mutual), 328 Schwalm offered and sold ...