Search for: "Capital Accounts LLC"
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31 Mar 2022, 8:46 am
To learn more, please see: Aegis Capital Corp. [read post]
23 Mar 2022, 9:44 am
Marc Reda was reportedly affiliated with the following firms during his twenty-two-year career, among others, according to FINRA: 05/12/2016 – 03/22/2022, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY, 02/22/2016 – 05/02/2016, FIRST STANDARD FINANCIAL COMPANY LLC (CRD#:168340), STATEN ISLAND, NY 10/03/2014 – 01/28/2016, PHX FINANCIAL, INC. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
7 Apr 2015, 7:15 pm
Sarah Binder, George Washington University, Brookings Institution; Mark Spindel, Potomac River Capital, LLC. [read post]
4 Dec 2020, 9:38 pm
Boards are facing new expectations and accountability as stakeholder capitalism gains steam. [read post]
22 Apr 2013, 8:05 am
Due to the above complexity with valuations and capital accounting, LLCs should avoid issuing profits interests on more than a few occasions because tracking the multiple valuation dates and making the necessary Capital Account Adjustments can quickly become an accounting nightmare. [read post]
18 Jan 2018, 12:32 pm
GreenHunter was the sole member and manager of the LLC, which never carried enough capital to cover a debt so high, and was ruled to owe the debt plus court fees. [read post]
23 Feb 2013, 10:00 pm
Attorney Desiree Andreu represented Razor Capital, LLC. [read post]
7 Jun 2022, 7:47 pm
Gentile appears intent on seizing the controls of GPB Capital Holdings LLC and its investment funds, including their respective bank accounts, which hold nearly $1 billion that is earmarked for the victims of his fraud. [read post]
27 Aug 2018, 8:18 am
Broker Robert Ruvein Yasnis (CRD #2399141) is a currently registered broker employed with Worden Capital Management LLC (CRD #148366) of New York, NY. [read post]
20 Sep 2018, 6:32 am
Domain had contended that Shah was entitled only to the amount of his capital account balance, or approximately $438,000. [read post]
21 Dec 2017, 7:22 am
(FINRA Case #2015044823501) Craig Scott Capital, LLC (CRD® #155924, Uniondale, New York) – An Office of Hearing Officers (OHO) decision became final in which the firm was expelled from FINRA® membership. [read post]
1 Feb 2019, 10:53 am
Massachusetts is investigating allegations that 63 broker-dealer firms may still be selling private placements in GPB Capital Holdings LLC after the firm temporarily stopped raising funds. [read post]
23 Feb 2024, 1:54 pm
Jed Capital, LLC, where a member raised reasonable doubt as to a manager’s disinterestedness, thus adequately alleging that demand on the LLC’s manager would have been futile. [read post]
15 Feb 2021, 10:26 am
Michael Joseph Hernandez is a stockbroker with Arive Capital Markets LLC (“Arive Capital Markets”) in Brooklyn, New York. [read post]
15 Feb 2013, 8:08 am
Typical LLC operating agreement provisions such as special allocations of income, gain, loss, or expense (including substantial economic effect provisions under Section 704), Section 704(c) contributed property allocations, preferential returns or liquidation rights, and provisions regarding distributions in accordance with capital accounts, will typically violate the second class of stock rules and thus need to be modified out. [read post]
15 Feb 2013, 8:08 am
Typical LLC operating agreement provisions such as special allocations of income, gain, loss, or expense (including substantial economic effect provisions under Section 704), Section 704(c) contributed property allocations, preferential returns or liquidation rights, and provisions regarding distributions in accordance with capital accounts, will typically violate the second class of stock rules and thus need to be modified out. [read post]
14 Jun 2021, 7:48 am
Pizzimenti was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation related to improper trading in customer accounts while associated with Worden Capital Management LLC in New York. [read post]
4 Feb 2024, 3:17 pm
Specifically, the plaintiffs alleged that the each of the two defendants contributed only a fraction of their required capital contributions and, in one of the LLCs, they had negative capital accounts. [read post]
15 Jan 2021, 2:29 pm
The Operating Agreement typically gives the President general management powers of the business of the LLC, as well as full power to open bank accounts. [read post]
