Search for: "First United Funding, LLC"
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5 Sep 2023, 1:17 pm
The advisory firms are: Lloyd George Management (HK) Limited; Bluestone Capital Management LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; and Apex Financial Advisors Inc. [read post]
5 Sep 2023, 4:21 am
” (Mercy Abundance, LLC v Chapman, 2016 N.Y. [read post]
3 Sep 2023, 9:43 am
In my next blog I’ll look at the legal arguments about tester standing, but first I want to talk about a more practical question. [read post]
1 Sep 2023, 6:44 am
(CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. [read post]
FDA sends warning letters to infant formula manufacturers, unveils Cronobacter history in facilities
31 Aug 2023, 6:13 am
., Mead Johnson Nutrition (Reckitt), and Perrigo Wisconsin, LLC. [read post]
31 Aug 2023, 3:55 am
It’s tough times for the former United States Attorney for the Southern District of New York who went on to be mayor of New York City. [read post]
30 Aug 2023, 9:49 am
I Shri Khodiyar, LLC, 624 F. [read post]
29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
24 Aug 2023, 6:39 am
As a result, the company received reimbursement for costs that provided no benefit to the United States. [read post]
18 Aug 2023, 7:20 am
This becomes a riskier position when the seller does not have sufficient funds to cover the purchase of the underlying equity. [read post]
16 Aug 2023, 1:36 pm
FSST Management Services, LLC (Tribal Lending; Arbitration; Choice-of-Law Provision) Buchanan v. [read post]
16 Aug 2023, 10:52 am
[vii] The SEC claimed that Jarkesy, along with his advisory firm Patriot28, LLC, made false representations to their investors, including falsely advising that a prominent accounting firm and investment bank served as the funds’ auditor and broker, respectively, and misrepresenting the funds’ investment strategies and overvaluing the funds’ holdings. [read post]
16 Aug 2023, 8:31 am
appeared first on The White Law Group. [read post]
15 Aug 2023, 1:32 am
FINRA Arbitration FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
11 Aug 2023, 12:49 pm
FINRA is a non governmental organization that regulates the securities industry in the United States. [read post]
10 Aug 2023, 9:31 am
with breaching its fiduciary duty by failing to disclose material conflicts of interest related to its selection of mutual funds and wrap accounts for clients. [read post]
7 Aug 2023, 12:43 pm
The post FINRA Rule 3240 appeared first on The White Law Group. [read post]
7 Aug 2023, 12:14 pm
He can be reached at Jeff@JeffNewmanLaw.com The post Theorem Fund Services, LLC, fund adinistrator charged $122,000 for missing red flags of fraud on private fund appeared first on Jeff Newman Law. [read post]
2 Aug 2023, 11:54 am
FINRA is a non governmental organization that regulates the securities industry in the United States. [read post]
1 Aug 2023, 9:23 am
There are no funding source restrictions on super PACs. [read post]
