Search for: "Capital Accounts LLC"
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9 Nov 2023, 9:01 pm
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
9 Nov 2023, 6:29 am
Wurdemann CRD# 4206425) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of New York, NY. [read post]
8 Nov 2023, 10:14 pm
For investors, this rule means that they can expect their broker-dealer to take into account their specific investment profile before making any recommendations. [read post]
6 Nov 2023, 9:46 am
Andrew Miles (Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. [read post]
3 Nov 2023, 10:39 am
This includes trading stocks, bonds, or other securities for their own account. [read post]
2 Nov 2023, 9:04 am
FinCEN will be proposing rules to reduce duplicative reporting obligations, which exist because certain financial institutions currently must obtain similar BOI information for legal entity customers at account opening. [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
1 Nov 2023, 1:38 pm
CAT applies to various businesses, including limited liability companies (LLCs), partnerships, and corporations. [read post]
1 Nov 2023, 12:38 pm
It’s especially problematic in taxable accounts, as the gains are subject to tax. [read post]
31 Oct 2023, 9:05 pm
Because LTL had a “substantial equity cushion and a lack of evidence suggesting it had trouble paying debts or impaired access to capital markets,” its filing was “premature. [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
25 Oct 2023, 12:49 pm
PRIMEX Adam Ezrilov LPL Financial LLC RBC Capital Markets, LLC Samuel Girgiss Spartan Capital Securities, LLC Worden Capital Management LLC Dennis Hanrahan Spartan Capital Securities, LLC John Thomas Financial Timothy Henry Wells Fargo Clearing Services, LLC Credit Suisse Securities (USA) LLC Kenneth… [read post]
25 Oct 2023, 8:30 am
If you have any questions about how your account has been handled, call to speak with an experienced securities attorney. [read post]
25 Oct 2023, 8:05 am
Michael Solomon Maxim Group LLC HFP Capital Markets LLC Bertram Unger Edward Jones Pruco Securities, LLC Shane Wilhelm Fortune Financial Services, Inc. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
The SEC asserted that the Administrator, at the behest of the fund’s sponsor, calculated the fund’s net asset value without including trading losses, resulting in materially overstated values in the investors’ account statements. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
17 Oct 2023, 6:45 am
What must a reporting entity disclose under SB 253, the Climate Corporate Data Accountability Act? [read post]
17 Oct 2023, 5:57 am
If, however, USC is a limited liability company (LLC), and does not elect to be taxed as a corporation, FC will become subject to U.S. income tax on USC’s net income. [read post]
11 Oct 2023, 11:17 am
Bank of America, require banks to pay at least 2% interest annually on escrow accounts associated with residential mortgages. [read post]
