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11 Mar 2024, 4:51 am
In her Post-Trial Decision and Order, the Court wrote that the jury had “plenty of evidence” to find for Aronov, including that defendants: Transferred the LLC’s funds to third parties, including to friends, for purposes unrelated to the business of the LLC; Failed to keep loan documentation, loan agreements, or promissory notes documenting the alleged loans to, and repayments from, the LLC’s funds; Failed to attempt to… [read post]
27 Apr 2022, 8:37 am
He failed to provide bank records to the NFA to show what he actually did with the funds he received. [read post]
30 Apr 2012, 3:00 am
Kleinberger, “The Closely Held Business through the Entity-Aggregate Prism,” 40 WAKE FOREST L. [read post]
30 Sep 2013, 12:28 pm
While Hernandez was associated with AXA, FINRA alleged that he engaged in at least three outside business activities that were not disclosed to or approved by the firm. [read post]
8 Feb 2017, 12:46 pm
In particular, the Complaint alleges that the transactions were falsely marketed as assignments rather than loans, that the transactions violate New York usury laws, and that RD misrepresented when the funding would be provided and falsely claimed that it could “expedite funding and ‘cut through red tape’” associated with the settlements being financed. [read post]
15 May 2009, 11:45 am
Longstanding customers should not have to find it out from me.Download Bentzen Funding Solutions LLC Annual Report 1-9-2009 showing Savysky and Asseff as members. [read post]
1 Mar 2023, 9:58 am
LLC, (Fed. [read post]
15 May 2020, 7:44 pm
For example mutual funds like that the SEC only requires one filing for all the portfolio funds within the family of funds under the Series LLC umbrella. [read post]
2 Jul 2009, 9:12 am
Modern Consumer, LLC (Mecklenburg)(Diaz): alleged fraud in Plaintiffs' acquisition of business sold by the Defendants. [read post]
6 Jun 2022, 4:18 am
On 5/17/18, Largo emailed JDS outlining adjustments to be made to the LLC’s capital accounts associated with a distribution. [read post]
5 Aug 2015, 2:06 pm
Diehl was ultimately suspended from associating with any FINRA member for 45 days and was imposed a $5,000 fine. [read post]
9 Dec 2010, 11:00 am
Beginning in February 2004, Lynch and officers from a PLA client company met with Hevesi and others at the pension fund concerning pension fund business. [read post]
14 May 2017, 5:27 am
(Westminster), Concorde Investment Services, LLC (Concorde Investment), and IFS Securities (IFS). [read post]
27 Jun 2023, 5:35 am
The SEC rule includes requirements to protect customers’ funds and securities. [read post]
7 Jul 2008, 11:30 am
" Tal's expert arrived at a book value of $1.4 million for SV LLC and $700,000 for Tal's 50% interest which, however, included the assets and good will associated with SVS's 2005 acquisition of another vending company. [read post]
26 May 2015, 11:32 am
Additionally, FINRA alleged that from January 2007 through August 2014, LPL failed to properly supervise and properly disclose the fees associated with mutual fund switching or the sale of Class C Mutual Funds shares by setting its internal suitability threshold triggering review of the transaction too high to be effective. [read post]
17 Jun 2010, 11:37 am
It also provides evidence of the laboratory of state law at work, particularly in business associations, and more particularly uncorporations. [read post]
26 Sep 2017, 10:55 am
Hudson Opportunity Fund I, LLC, No. 650969/11, 4096, 2017 N.Y. [read post]
3 Jan 2023, 4:35 am
Shalov v Brisbane Associates, L.P. [read post]
11 Apr 2021, 9:05 am
From October 2011 until December 2019 Ianace was associated with Merrill Lynch. [read post]
