Search for: "Capital Records, LLC"
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16 Jun 2021, 1:17 pm
According to the regulator, from January 2017 to December 2019, while associated with Spartan Capital Securities, LLC, Reda allegedly recommended to all of his customers an unsuitable investment strategy that consisted of actively trading in anticipation of corporate announcements. [read post]
1 Sep 2015, 7:34 am
Since March 2014, Mamane has been associated with Aegis Capital Corp. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
9 Sep 2016, 6:25 am
Thereafter, from June 2014 until June 2015 McCabe was associated with Four Points Capital Partners LLC. [read post]
17 Oct 2015, 6:56 am
Thereafter, from April 2012, until July 2015, Baudendistel was a registered representative of JHS Capital Advisors, LLC. [read post]
16 Mar 2012, 9:50 am
A shareholder (or LLC member) may also be liable for the corporation or LLC's obligations under the common law "alter ego" doctrine (called 'piercing the corporate veil'). [read post]
17 Aug 2020, 4:36 am
” Partnership Agreement’s Restrictions on Access to Books and Records is No Bar to Discovery Rights in Plenary Action The question presented in a second case before Justice Borrok, Younker v GPB Capital Holdings, LLC, 2020 NY Slip Op 32121(U) [Sup Ct NY County July 1, 2020], was the extent to which the partnership agreement’s provisions governing access to books and records either augmented or restricted the plaintiff limited partners’… [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group LLC Overview The White Law Group reviews the regulatory history of Independent Financial Group LLC. [read post]
30 Sep 2022, 6:47 am
(CRD#:7870) of Morristown, NJ, Fidelity Brokerage Services LLC (CRD#:7784) of Wayne, NJ, and Barclays Capital Inc. [read post]
19 Aug 2019, 7:28 am
The Capital One Data Breach On July 29, 2019, FBI agents arrested Paige A. [read post]
21 Oct 2022, 12:22 pm
[i] Opposer NPG Records, Inc., an original opposer, was converted from a corporation to a limited liability company and changed its name to NPG Records, LLC. [read post]
27 Aug 2018, 8:04 am
(CRD #119037) of Stamford, CT and the now-defunct HFP Capital Markets LLC of New York, NY (CRD #44351; FINRA expelled this company on 06/25/2014.) [read post]
26 Oct 2018, 8:06 am
In Florida, the LLC statute is Fla. [read post]
26 Oct 2018, 8:06 am
In Florida, the LLC statute is Fla. [read post]
18 Feb 2021, 4:30 am
The Appellate Division, indicating that FOIL provides the public with broad "access to the records of government" explained that "An agency must 'make available for public inspection and copying all records' unless it can claim a specific exemption to disclosure".** Further, said the court, the exemptions "are to be narrowly interpreted so that the public is granted maximum access to the records of government" as FOIL is based… [read post]
22 Jun 2015, 3:22 am
The minority member apparently did not argue for a different date, although he did seek for valuation purposes certain financial records subsequent to the action’s filing date. [read post]
8 Sep 2008, 11:30 am
Perry opposed dissolution on various grounds including the LLC's long track record of profitable leasing, the existence of a separate management agreement governing re-letting, and because the LLC continued to operate under the management of Megale who was pursuing the LLC's best interests. [read post]
12 Jan 2012, 10:55 am
Willan later changed the company's name to Evergreen Homes, LLC. [read post]
22 Jan 2014, 6:10 am
Titan Capital Group, LLC, 2014 NY Slip Op 425 (NY App. 1st Div.) [read post]
