Search for: "Capital Records, LLC"
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22 Sep 2023, 2:24 pm
Stratman allegedly was a broker for AIG Capital Services, Inc., in Woodland Hills, California, from 2015 to 2016. [read post]
22 Sep 2023, 2:24 pm
Stratman allegedly was a broker for AIG Capital Services, Inc., in Woodland Hills, California, from 2015 to 2016. [read post]
22 Sep 2023, 1:48 pm
From 2016 to 2019, Cangialosi reportedly served as a broker with Worden Capital Mangement LLC, in New York, New York. [read post]
22 Sep 2023, 1:48 pm
From 2016 to 2019, Cangialosi reportedly served as a broker with Worden Capital Mangement LLC, in New York, New York. [read post]
22 Sep 2023, 1:48 pm
From 2016 to 2019, Cangialosi reportedly served as a broker with Worden Capital Mangement LLC, in New York, New York. [read post]
22 Sep 2023, 11:06 am
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
22 Sep 2023, 11:06 am
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
22 Sep 2023, 11:06 am
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
19 Sep 2023, 6:07 am
NFL Enterprises, LLC (N.D. [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
14 Sep 2023, 6:33 am
Two of the firms had purportedly failed to maintain records of these advertisements, compounding their regulatory violations. [read post]
13 Sep 2023, 5:25 am
“[U]nder res judicata, or claim preclusion, a valid final judgment bars future actions between the same parties, or those in privity with them, on any claims arising out of the same transaction or series of transactions … even if based upon different theories or if seeking a different remedy” (East Hampton Capital LLC v Fergusson, 183 AD3d 409, 409-410 [1st Dept 202.0][internal quotation marks and citations omitted]). [read post]
7 Sep 2023, 2:20 am
Widely regarded as a leading expert on discovery in the United States, and ranked by Chambers USA for many years, Ashish has served, among other things, as: Litigation Partner and Founder of the Mayer Brown Electronic Discovery and Records Management Practice; Founder and CEO of Discovery Services LLC; and Vice President and General Counsel of eTERA Consulting. [read post]
5 Sep 2023, 7:00 am
Securities and Exchange Commission (“SEC”) issued an order imposing civil monetary penalties against Titan Global Capital Management USA LLC (“Titan”) for violations of the new investment adviser Marketing Rule, Rule 206(4)-1. [read post]
30 Aug 2023, 5:45 am
Consider Opportunity Zone Funds to defer capital gains taxes until 2026. [read post]
18 Aug 2023, 5:01 am
Third, the documents Plaintiff seeks to seal are currently available in the public record in Phoenix Capital Group Holdings, LLC v. [read post]
17 Aug 2023, 7:51 am
Dowling & Hales LLC. [read post]
14 Aug 2023, 4:34 am
Erber’s expert utilized a capitalization of excess earnings method. [read post]
11 Aug 2023, 12:49 pm
As recorded in the graph below, the junk bond market has been declining in recent years due to a number of factors. [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 $25… [read post]
