Search for: "CAPITAL RECORDS LLC "
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23 Mar 2022, 9:44 am
Marc Reda was reportedly affiliated with the following firms during his twenty-two-year career, among others, according to FINRA: 05/12/2016 – 03/22/2022, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY, 02/22/2016 – 05/02/2016, FIRST STANDARD FINANCIAL COMPANY LLC (CRD#:168340), STATEN ISLAND, NY 10/03/2014 – 01/28/2016, PHX FINANCIAL, INC. [read post]
13 Feb 2017, 11:00 am
First Capital noted that a sale of the T9 Property is not permitted until approximately 90 days from the January 31, 2017 record date of the notice of default. [read post]
2 Apr 2021, 1:34 am
In early June 2014, SASCO assigned the CIT Deed of Trust to DLJ Mortgage Capital, Inc. [read post]
30 Oct 2020, 11:21 am
The company reportedly filed a form D to raise capital from investors in 2017. [read post]
23 Aug 2011, 12:30 pm
Elsworth forex firms frozen under court orderThe CFTC announced that it has won a court order to freeze the assets of Douglas Elsworth Wilson and his three companies, Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC. [read post]
3 Apr 2017, 2:27 pm
Paul Oetken granted Defendants Wells Fargo Securities LLC (“Wells Fargo“), f/k/a Wachovia Capital Markets LLC (“Wachovia“), and Fortis Securities LLC’s motion for summary judgment, dismissing the remaining causes of action and closing the case in LBBW Luxemburg S.A. v. [read post]
10 Jan 2023, 7:39 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
15 Mar 2021, 8:05 am
The post Jeffrey Stanga, FMN Capital Corp. [read post]
24 Mar 2009, 3:00 pm
She continues her role in the music business as an entrepreneur, and has recently founded Carnival House Recordings with partner Wyclef Jean. [read post]
16 Apr 2019, 10:53 am
Saljooki is formerly employed by Worden Capital Management LLC (Worden Capital) but has worked for a total of nine firms during his 12 year career. [read post]
11 Jul 2017, 1:44 pm
The firm was required to supervise the transactions and include them on its books and records, but failed to do so. [read post]
22 Apr 2024, 1:35 am
S corps must create a board of directors, draft corporate bylaws, hold shareholder meetings, record meeting minutes, and also administer payroll, among other tasks. [read post]
18 Feb 2013, 11:03 pm
The plaintiff renewed his request that the court permit him to buy out defendant’s interest in the LLC, based upon the realty’s appraised value, in proportion to the defendant’s lesser capital account. [read post]
5 Aug 2021, 8:09 am
(CRD#:7072), LAKE GROVE, NY 06/23/2010 – 07/11/2012, PHD CAPITAL (CRD#:38785). [read post]
4 Dec 2023, 4:58 am
It also stated that there would need to be a management agreement whereby GF would charge ENGenuity a monthly fee for services, and that GF would lend ENGenuity $100,000 for “initial working capital” to be repaid over five years. [read post]
2 Feb 2021, 2:38 pm
Triad Advisors LLC, (CRD# 25803, Atlanta, GA) a national financial advisory firm headquartered in Atlanta, GA, reportedly has 10 disclosure events on its broker record including 6 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
6 Sep 2022, 6:37 am
The attorneys at Gana Weinstein LLP have reviewed BrokerCheck records reports that broker Erik Drewes (Drewes), currently employed by American Capital Partners LLC, has been subject to at least three customer complaints during his career. [read post]
25 Jun 2020, 8:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), formerly associated with Worden Capital Management LLC (Worden Capital), has been subject to at least four customer complaints and one regulatory action during his career. [read post]
7 Mar 2021, 4:58 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mack Miller (Miller), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least three customer complaint, one regulatory action, and three judgement or liens during his career. [read post]
19 Jul 2020, 7:00 pm
WHC Ventures, LLC, Del. [read post]
