Search for: "Capital Accounts LLC"
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16 Jun 2021, 12:55 pm
The complaint alleges that from January 2017 to December 2019, while associated with Spartan Capital Securities, LLC, Mr. [read post]
12 Mar 2007, 8:34 am
Now the startup is seeking venture capital financing and the venture capital investors won't invest in an LLC (as is often the case). [read post]
6 Dec 2011, 4:00 am
Open a bank account. [read post]
12 Dec 2023, 11:20 pm
That means even the accountant isn’t doing the accounting at GPB. [read post]
28 Dec 2020, 1:24 pm
His previous employers include Wilmington Capital Securities, LLC (CRD#:133839) also of Melville, Kovack Securities Inc. [read post]
19 Sep 2020, 6:22 am
LLC members should account for Social Security and Medicare taxes. [read post]
27 Apr 2015, 11:37 am
In what appears to be another example of broker-dealers continuing to ensure that the wrong speculative securities are sold to the wrong investors, the Financial Industry Regulatory Authority (FINRA) announced in a News Release on April 23, 2015 that RBC Capital Markets, LLC was fined approximately $1 million and ordered to pay restitution of approximately $400,000 for the firm’s failure to supervise the unsuitable sale of reverse convertible securities to public… [read post]
16 Feb 2022, 8:29 am
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]
13 Oct 2020, 6:21 am
Santo Bay Resort Holdings LLC , sponsored by Ecovest Capital, is a syndicated conservation easement investment. [read post]
12 Feb 2021, 10:48 am
The Commission wants to give this person broad powers over “non-privileged books, records, and account statements for the entities and assets” related to GPB Capital Holdings’ portfolio companies and funds. [read post]
25 Sep 2018, 7:35 am
From February 2013 until December 2015 Rosalia was registered with Rockwell Global Capital LLC – a now defunct firm. [read post]
27 Jul 2020, 4:17 am
For practitioners and others unable to access ABA Connect, what follows is a condensed account, with attribution, highlighting some of the 30+ messages on the topic of LLC member exit rights. [read post]
12 Nov 2013, 11:49 am
Each member has a capital account. [read post]
17 Jul 2008, 3:14 pm
The venture capital firm does not want the accounting and tax matters of a funded venture to be passed down to the firm, and thereby be attributed to the venture capital firm’s tax exempt and foreign limited partners. [read post]
25 Jan 2019, 4:18 pm
-Members who are also employees of the LLC should receive a paycheck from the LLC payroll account like any other employee would. [read post]
28 Jun 2021, 3:10 am
As Najjar colorfully put it, West’s ever-increasing capital account “created a death spiral capital structure. [read post]
9 Oct 2009, 8:03 am
As to the consumer protection rules, a seireis LLC would also fall short: … if the amount calculated for the special reserve account for customers included credits from one series and debits from another series the account could be underfunded. [read post]
20 Jan 2023, 10:43 am
Distributions can be based simply on a member’s percentage ownership of the LLC (generally calculated by dividing the balance of a member’s capital account by the sum of the capital accounts of all the members) or on more complicated priority-based formulas. [read post]
19 Oct 2021, 1:38 pm
Marc Reda (Marc Augustus Reda CRD:#2757330) is a registered broker currently employed with SPARTAN CAPITAL SECURITIES, LLC (CRD# 146251) of New York, NY. [read post]
17 Apr 2023, 9:52 am
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has censured and fined RBC Capital Markets LLC $300,000 for supervisory issues. [read post]
