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18 Jul 2011, 2:00 am
The new rule provides that a foreign investment adviser, an adviser with a principal office and place of business outside of the United States, qualifies for the exemption if: (1) the foreign adviser has no client that is a U.S. person, except for one or more private funds and (2) U.S. attributable assets managed by the foreign adviser are less than $150 million. [read post]
18 Apr 2012, 10:25 am
On the bottom of the first page it states "Copyright 2012 by the Estate Plan Center, LLC". [read post]
19 Jan 2015, 8:09 am
Circuit Court of Appeals in Pom Wonderful LLC v Hubbard et al | Biotech inventions: controversies, case law, uncertainties and financing. [read post]
21 Jun 2018, 6:55 am
In addition, the firm had no WSPs, and failed to provide guidance or training to registered representatives and principals regarding the sale of long-term income riders with multi-share class variable annuities, particularly the combination of L-share contracts with long-term income riders. [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]
26 Feb 2016, 10:26 am
., which later became Alpha Diagnostics, LLC, in 1993, and was the Managing Member, Authorized Official, Managing Employee, President and Chief Executive Officer for Alpha Diagnostics. [read post]
8 Apr 2015, 6:30 am
©2015 Amaxx LLC. [read post]
21 Jul 2015, 6:30 am
©2015 Amaxx LLC. [read post]
3 Dec 2021, 6:00 am
Bennett Freeman is principal at Bennett Freeman Associates LLC. [read post]
26 Mar 2015, 6:30 am
©2015 Amaxx LLC. [read post]
4 May 2015, 9:00 am
Anderson is Principal & CEO of Anderson Economic Group LLC, a consulting firm headquartered in East Lansing. . . [read post]
27 Apr 2015, 6:30 am
©2015 Amaxx LLC. [read post]
4 Feb 2022, 6:10 am
The district court’s order denying class certification on typicality grounds described the scenario in which plaintiff Automotive Industries Pension Trust Fund (AIPTF) acquired its unsponsored Toshiba ADRs: AIPTF hired ClearBridge Advisors LLC, which in turn worked with Barclays Capital LE (based in New York), which used OTC Link to purchase the ADRs. [read post]
30 Sep 2018, 5:16 pm
The SEC principally enforces this anti-fraud provision under Rule 10b-5, which specifically states: Section 240.10b-5 Employment of manipulative and deceptive devices. [read post]
24 Jan 2020, 10:34 am
Liou and Golden California Regional Center falsely represented that investor funds would be used to finance qualifying real estate development when, in fact, Liou diverted the funds to her personal use. [read post]
8 Mar 2018, 3:12 pm
The ultimate source of the funds for EC LLC remains unclear. (9) EC commenced an ex parte arbitration action to obtain a preliminary restraining order against PP. [read post]
23 Sep 2018, 9:50 am
The checks, predictably, were returned for insufficient funds. [read post]
19 Mar 2015, 8:57 am
Special Envoy for Climate Change Todd Stern, Acting Assistant Secretary Judith Garber for Oceans and International Environmental and Scientific Affairs, and Principal Deputy Assistant Secretary of Energy for International Affairs Jonathan Elkind, travel to Beijing, March 18–20, 2015 for a series of meetings on climate change and environmental cooperation. [read post]
Supreme Court of the State of Delaware, Germaninvestments AG, v. Allomet Corp., Docket No. 291, 2019
4 Mar 2020, 12:54 pm
Yanchep is a Delaware LLC with assets in Pennsylvania. [read post]
18 Jul 2009, 7:31 am
The financial crisis, the new administration, new SEC leadership, increased funding and the focus of Congress and the media have all combined to encourage heightened government scrutiny. [read post]
