Search for: "Capital Records, LLC"
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8 Aug 2023, 12:22 pm
Fines for other firms—including Bank of Montreal, BMO Capital Markets Corp., BNP Paribas, Houlihan Lokey Capital, Inc., Mizuho Securities USA, Moelis & Company LLC, SMBC Nikko Securities America, Inc., Société Générale, and Wedbush Securities Inc. [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 pay a $15… [read post]
4 Aug 2023, 4:00 am
Their business records show they were set up by the same person in the months before Scott entered the race. [read post]
3 Aug 2023, 11:22 am
According to its FINRA Broker Report, the firm reportedly has 54 disclosure events on its broker record including 30 regulatory events, 16 arbitrations and 8 bonds. [read post]
2 Aug 2023, 11:54 am
As recorded in the graph below, the junk bond market has been declining in recent years due to a number of factors. [read post]
2 Aug 2023, 10:30 am
Best Practices for Using an LLC in Estate Planning To fully capitalize on the advantages offered by an LLC in your estate plan, it's crucial to adhere to all the rules and regulations associated with its operation. [read post]
1 Aug 2023, 4:00 am
Simmons for Speaking Engagement Compensation” by Kai Uyehara (Kitsap Sun) for MSN Legislative Issues North Carolina: “Inside the Party Switch that Blew Up North Carolina Politics” by Kate Kelly and David Perlmutt (New York Times) for Seattle Times Procurement Kansas: “Kansas $180K Megaproject Consulting Job Went to Deputy Secretary’s LLC” by Jason Alatidd (Topeka Capital-Journal) for Yahoo News The post Tuesday’s… [read post]
31 Jul 2023, 4:03 am
This year’s edition features brief commentary on five recent decisions by New York courts in a variety of business divorce cases involving equitable contribution among partners; preferred shareholder redemption rights; LLC manager indemnification rights; shareholder books-and-records access; and statute of frauds defense to equity ownership claims. [read post]
28 Jul 2023, 2:56 pm
Griffin Durham Tanner & Clarkson LLC will tirelessly work to help restore your professional integrity and future. [read post]
28 Jul 2023, 1:02 pm
Woods of Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC was allegedly running an extensive ponzi scheme. [read post]
23 Jul 2023, 1:50 pm
A live webinar “Greenwashing: How to Mitigate Your Risk” 30 talking points in 30 minutes, Tuesday, July 25 at 9 am ET presented by Stuart Kaplow and Nancy Hudes on behalf of ESG Legal Solutions, LLC. [read post]
20 Jul 2023, 10:45 am
According to its broker record, SagePoint has 11 arbitrations. [read post]
17 Jul 2023, 7:00 am
LLC vs. [read post]
11 Jul 2023, 7:33 am
”” “In fact, the one registered lobbyist who agreed to speak on the record was Sushant Sidh, a principal in the Annapolis firm Capitol Strategies LLC. [read post]
10 Jul 2023, 11:54 am
PricewaterhouseCoopers, LLC (2022) 84 CA5th 466. [read post]
10 Jul 2023, 9:27 am
Hoidas also purportedly caused two member firms with which he was associated to maintain incomplete books and records in violation of FINRA Rules 4511 and 2010. [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]
28 Jun 2023, 6:05 am
EJF Capital LLC and The NRP Group announced the closing of a $61 million construction loan to develop a 361-unit multifamily community in Hyattsville. [read post]
28 Jun 2023, 5:34 am
Plaintiffs Jackson Land and Cattle, LLC, JLC Ranch Development, LLC, and JLC Ranch, LLC are Delaware limited liability companies that own the Wyoming Property, which are controlled and indirectly owned by Fields (id., ¶14). [read post]
26 Jun 2023, 7:03 am
A&E Television Networks, LLC v. [read post]
