Search for: "Principal Funding LLC"
Results 641 - 660
of 1,298
Sort by Relevance
|
Sort by Date
6 Sep 2016, 3:24 am
No. 12084-VCMR [Del Ch Aug. 5, 2016], granted summary judgment on a claim for advancement of legal expenses in favor of the plaintiff Harrison, a principal of Quivus’s 45% member and its former CEO who was terminated in 2014 and then sued the following year in Washington D.C. [read post]
1 Sep 2016, 7:56 am
Espinoza is unable to account for substantial amounts of the funds he raised from the investors, is not currently able to pay the principal back, and does not have any credible plans to do so. [read post]
29 Aug 2016, 6:30 am
Read more… Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
25 Aug 2016, 7:51 am
The company is a Texas LLC, and is offering revenue sharing notes. [read post]
15 Aug 2016, 4:31 pm
While on unemployment I took tests for NYS and was offered a position by the State Fund. [read post]
12 Jul 2016, 6:30 am
Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
6 Jul 2016, 9:49 am
Moreover, the firm and Zipper knew that the principal was using text messages to conduct firm business. [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
14 Jun 2016, 8:06 am
Have you suffered losses investing in the Cypress Income Fund IV Secured Recourse 8.25% Promissory Note? [read post]
13 Jun 2016, 6:46 am
An SEC investigation found that Blackstreet Capital Management, LLC (“Blackstreet”) and its principal performed in-house brokerage services rather than using investment banks or broker-dealers to handle the acquisition and disposition of portfolio companies for a pair of advised private equity funds. [read post]
7 Jun 2016, 7:46 am
Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
26 May 2016, 9:07 am
Principal of Amaxx, Founder of CompClub and co-author of Your Ultimate Guide to Mastering Workers Comp Costs. [read post]
26 May 2016, 7:10 am
Earlier this month, the Securities and Exchange Commission (“SEC”) instituted an administrative proceeding against Blue Ocean Portfolios, LLC (“Blue Ocean”), an SEC-registered investment advisor with approximately $106 million in regulatory assets under management, and its Principal, CEO and Chief Compliance Officer, James A. [read post]
24 May 2016, 9:31 am
Firm principals were aware that registered representatives were using outside email accounts for business-related communications, even though it was contrary to the firm’s supervisory procedures. [read post]
23 May 2016, 11:41 am
Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
6 May 2016, 3:37 am
Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
3 May 2016, 5:08 pm
(“Jones”), a retirement funds investment manager. [read post]
27 Apr 2016, 4:54 am
According to the court, Archer Advisors LLC, its principal, and another company insider perpetrated a scheme to misappropriate fund assets and artificially pump up the value of the hedge funds that Archer managed. [read post]
11 Apr 2016, 11:28 am
· Fenway Partners LLC and its principals who paid more than $10 million for failing to disclose conflicts of interest relating to consulting services provided by an affiliated entity and payments to former firm employees that were paid for with fund and portfolio company assets. [read post]
6 Apr 2016, 6:30 am
Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
