Search for: "In Events, LLC"
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8 Jun 2024, 11:13 am
When we perceive and respond to stimuli, there is an inherent delay between the occurrence of an event and our reaction to it. [read post]
7 Jun 2024, 5:55 pm
Dorcon Group, LLC (“Dorcon Group”) purchased a lot in March 2020 with the intention of operating a commercial bed and breakfast as well as a venue for weddings and other events on the property. [read post]
6 Jun 2024, 1:58 pm
II, LLC v. [read post]
6 Jun 2024, 7:04 am
The post Event! [read post]
5 Jun 2024, 3:38 pm
Triad Advisors reportedly has 13 disclosure events on its broker record including 8 regulatory events, and 5 arbitrations, according to its CRD or FINRA BrokerCheck report. [read post]
5 Jun 2024, 1:45 pm
According to its FINRA Broker Report, the firm reportedly has 10 disclosure events on its broker record including 7 regulatory events and 3 arbitrations. [read post]
5 Jun 2024, 10:52 am
David Lerner Associates currently has 40 regulatory events indicated by its CRD (broker report). [read post]
4 Jun 2024, 4:49 pm
The Excalibur Litigation concerned claims brought by an entity, Excalibur Ventures LLC (“Excalibur”) which asserted that it had been wrongfully excluded by two other entities, Texas Keystone Inc. [read post]
2 Jun 2024, 9:01 pm
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. [read post]
31 May 2024, 1:03 pm
Fatemi, LLC. [read post]
31 May 2024, 11:49 am
Merrill Lynch reportedly has 1,475 disclosures including 596 regulatory events, according to its CRD. [read post]
31 May 2024, 9:44 am
Introduction Community Property. [read post]
30 May 2024, 5:11 am
So first up, we have Mathew Kerbis, out of Chicago, he’s the 2024 James Keane Award recipient, and founder of subscription attorney, LLC. [read post]
29 May 2024, 6:00 am
In any event, the Commissioner has the discretion to depart from the Guidelines and is afforded "great leeway" in disciplinary matters (id.at 38 [internal quotation marks omitted]; see also Administrative Code of City of NY § 14-115). [read post]
29 May 2024, 6:00 am
In any event, the Commissioner has the discretion to depart from the Guidelines and is afforded "great leeway" in disciplinary matters (id.at 38 [internal quotation marks omitted]; see also Administrative Code of City of NY § 14-115). [read post]
27 May 2024, 5:45 am
The defense will argue that all of the events that the witnesses recounted occurred long ago, echoing the very beginning of the opening of their case: “most of what you are going to hear about in this trial, most of the conversations, most of the documents are from 2015, 2016, 2017, years and years ago, pre-COVID” (4/22 Transcript at 889). [read post]
24 May 2024, 7:03 am
Justice Department (DOJ) announced yesterday that it has filed suit, along with 29 states and the District of Columbia, charging Live Nation Entertainment Inc. and its subsidiary Ticketmaster LLC with monopolizing the live-events industry in violation of Section 2 of the Sherman Act. [read post]
24 May 2024, 5:00 am
Events, LLC [read post]
23 May 2024, 1:59 pm
On April 19, 2024, Thrivent reportedly filed an amended Form U5 disclosing that Kieper had been charged with felony theft and misconduct in connection with events that occurred while Kieper was associated with Thrivent. [read post]
23 May 2024, 6:40 am
A few months later, the Commission resolved its first major fantasy sports law enforcement action, entering into a $15m settlement agreement with SidePrize LLC d/b/a Prize Picks (“PrizePicks”) for allegedly violating the new Rule. [read post]
