Search for: "D & D Management and Investement, LLC"
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15 May 2017, 9:23 am
The Form D was filed in 2007. [read post]
16 May 2017, 10:05 am
The Form D was filed in 2007. [read post]
16 May 2017, 10:18 am
The Form D was filed in 2008. [read post]
16 May 2017, 9:53 am
The Form D was filed in 2007. [read post]
16 May 2017, 9:47 am
The Form D was filed in 2007. [read post]
15 May 2017, 9:33 am
The Form D was filed in 2008. [read post]
16 May 2017, 10:00 am
The Form D was filed in 2007. [read post]
13 Apr 2023, 8:03 am
Riley Wealth Management for investment losses involving high-risk alternative investments. [read post]
1 May 2017, 11:28 am
The Form D was filed in 2008. [read post]
13 Oct 2022, 1:55 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
16 Apr 2021, 5:18 am
Did your broker recommend an investment in Senior Care Centers LLC? [read post]
31 Jul 2019, 2:52 am
August 6, 2019 - 11 AM: In re PCS Petroleum LLC, Serial No. 87728983 [Section 2(d) refusal to register the mark KP QUIK STOP & Deign for retail convenience stores, in view of the registered mark KWIK STOP for "Retail convenience store services featuring gasoline, other petroleum products and alcoholic beverages"].August 7, 2019 - 10 AM: Park Hotel Management Pte Ltd. v. [read post]
21 May 2012, 2:57 am
[Refusal of LION GLOBAL INVESTORS and Design for, inter alia, investment management and financial advisory services for pension funds, endowment funds, trust funds and assets of accredited or institutional investors [GLOBAL INVESTORS disclaimed], in view of the registered mark LION for investment management services, financial and investment planning and research, and trust services, namely, investment and trust company services].In re 24/7 Eats,… [read post]
18 Apr 2016, 9:15 am
Ellis, Jr., who managed and jointly owned Paul-Ellis Investment Associates, LLC (PEIA), created materially false and fraudulent marketing material in order to induce Florida residents to attend the “Free Dinner” seminar. [read post]
20 Oct 2014, 2:16 am
[Refusal to register THE ROCK CREEK GROUP for, inter alia, "individualized and personalized financial services provided to institutional investors, namely, sovereign wealth funds, state and local pension plans, multinational corporations, foundations and endowments," in view of the registered marks ROCK CREEK PROPERTY GROUP, LLC, in standard character and design form, for "real estate investment, management, and brokerage services" [PROPERTY GROUP,… [read post]
28 Apr 2017, 11:58 am
The Form D was filed in 2007. [read post]
5 May 2017, 7:48 am
The Form D was filed in 2007. [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
1 Jul 2019, 9:42 am
The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. [read post]
27 Dec 2021, 6:50 am
Inc. in Atlanta, and Livingston Group Asset Management d/b/a Southport Capital. [read post]
