Search for: "Capital Records, LLC"
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10 Apr 2023, 8:56 am
Indeed, 2021 was a record year for IPOs. [read post]
5 Apr 2023, 12:36 pm
Dana Davis – FINRA BrokerCheck Profile Dana Davis purportedly has 9 customer complaints on his broker record. [read post]
2 Apr 2023, 6:00 am
Editor’s Note: Since beginning in November 2001 to track the number of publicly highlighted merger, acquisition, and investment (M&A+I) events in the eDiscovery ecosystem, ComplexDiscovery has recorded 540* M&A+I events. [read post]
1 Apr 2023, 7:43 pm
FairXchange LLC , C.A. [read post]
Can fishermen be required to pay for federal monitors? And by the way – should Chevron be overruled?
30 Mar 2023, 10:31 am
The likeliest grant out of last week’s relists got the nod: The Supreme Court will decide in Acheson Hotels, LLC v. [read post]
30 Mar 2023, 8:48 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
30 Mar 2023, 6:52 am
Specifically, FSC Securities, Royal Alliance, SagePoint Financial and Woodbury Financial allegedly negligently failed to communicate to investors that in an offering that GPB Capital Holdings, LLC failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
28 Mar 2023, 6:52 am
Black Diamond Capital Mgmt. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
26 Mar 2023, 9:00 pm
In a Feb. 22, 2023, warning letter, the FDA described a Nov. 4 through Dec. 15, 2022, Foreign Supplier Verification Program (FSVP) inspection of Capital Imports LLC in Minneapolis, MN. [read post]
23 Mar 2023, 7:01 am
(relisted after the Mar. 17 conference) Acheson Hotels, LLC v. [read post]
19 Mar 2023, 2:12 am
Business entities such as corporations, partnerships, and limited liability companies (LLCs) may have this type of ownership structure. [read post]
9 Mar 2023, 2:16 pm
Caz Craffy (CRD# 5222223, a/k/a Carz Levinski Craffey) is a former broker last employed with Monmouth Capital Management LLC (CRD#:290248) of Point Pleasant Beach, NJ. [read post]
8 Mar 2023, 7:58 am
How to decide between an LLC or an S-Corp Becoming an LLC or an S-Corp isn’t necessarily an either-or decision. [read post]
8 Mar 2023, 7:58 am
How to decide between an LLC or an S-Corp Becoming an LLC or an S-Corp isn’t necessarily an either-or decision. [read post]
24 Feb 2023, 3:00 am
A censure has no consequences other than putting a formal statement of disapproval or reprimand on the record. [read post]
22 Feb 2023, 1:07 pm
Disclosure is limited even for the two well-known, publicly traded litigation fund managers, Burford Capital and Omni Bridgeway; it is sparser still—and highly self-selective—for all the private funds involved. [read post]
21 Feb 2023, 9:44 am
Laidlaw and Company also purportedly failed to maintain accurate books and records concerning its net capital position between January 26, 2018, and July 21, 2022, and filed 24 inaccurate FOCUS reports between January 2018 and July 2022 that reportedly overstated the amount of the firm’s net capital and excess net capital. [read post]
20 Feb 2023, 4:46 am
The subsequent production allegedly omitted key records including closing statements and bank records, and in general raised more questions. [read post]
19 Feb 2023, 5:21 pm
The United States Court of Appeals for the Ninth Circuit recently issued an opinion in Pino v Cardone Capital, LLC that followed the Eleventh Circuit ruling in Wildes v BitConnect, finding that if a person promotes the sale of a security on social media, that person may qualify as a “seller” under Section 12 of the Security Act of 1933. [read post]
