Search for: "Capital One Services, LLC"
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18 Aug 2023, 9:04 am
Advisory services offered through Per Stirling Capital Management, LLC. [read post]
17 Aug 2023, 7:51 am
Dowling & Hales LLC. [read post]
14 Aug 2023, 8:45 am
Reporting Companies created before January 1, 2024, have one year (until January 1, 2025) to file the required information. [read post]
14 Aug 2023, 8:45 am
Reporting Companies created before January 1, 2024, have one year (until January 1, 2025) to file the required information. [read post]
10 Aug 2023, 3:00 pm
This method of operation often leads to legal complications, particularly concerning matters with the Internal Revenue Service (IRS). [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of… [read post]
8 Aug 2023, 9:31 am
Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey Capital, Inc. has agreed to… [read post]
3 Aug 2023, 11:22 am
December 2022 – FSC Securities was one of many firms sanctioned for unsuitable sales of GPB Capital offerings. [read post]
31 Jul 2023, 4:03 am
This is one of those cases bearing out the adage, be careful what you wish for. [read post]
28 Jul 2023, 2:56 pm
Healthcare is just one example of how white-collar crime impacts Atlanta residents. [read post]
27 Jul 2023, 8:50 am
Dimengo is Managing Partner of Buckingham, Doolittle & Burroughs, LLC. [read post]
13 Jul 2023, 9:56 am
[7] ISS Securities Class Action Services Settlement Data [8] “D&O Insurer Challenges Amid Market, Economic Turbulence,” Law360, Nessim Mezrahi and Stephen J. [read post]
10 Jul 2023, 12:36 pm
(CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. [read post]
10 Jul 2023, 9:27 am
An unsuitable investment may be one that does not align with these factors. [read post]
29 Jun 2023, 3:35 am
In re SLC Hauppauge Development, LLC, Serial No. 90562295 (June 27, 2023) [not precedential] (Opinion by Judge Jonathan Hudis). [read post]
26 Jun 2023, 3:48 pm
But Prigozhin’s activities quickly expanded beyond food service. [read post]
26 Jun 2023, 7:03 am
A&E Television Networks, LLC v. [read post]
22 Jun 2023, 7:35 am
Triad Advisors LLC Infinex Investments Inc. [read post]
20 Jun 2023, 9:28 am
Individual Income Tax L. 2023 SB89 (Act 242) – The LDR Must Promulgate Regulations Related to the Net Capital Gain Deduction for Sale of a Louisiana Business Act 242 requires the Louisiana Department of Revenue (LDR) to promulgate regulations related to the individual income tax exclusion of net capital gains arising from the sale or exchange of an equity interest or substantially all of the assets of a non-publicly traded corporation, partnership, limited liability… [read post]
20 Jun 2023, 8:17 am
(CRD#:37), DENVER, CO, B, 03/04/2020 – 10/08/2020, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC B, 01/02/2015 – 05/02/2018, CAPITAL ONE INVESTING, LLC (CRD#:45744), Houston, TX B, 05/13/2014 – 01/02/2015, CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658), BEAUMONT, TX Failure to Supervise All broker-dealers have a responsibility… [read post]
