Search for: "Capital One Services, LLC"
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11 Dec 2023, 1:18 pm
That means a Virginia corporation, LLC, or LP is a Reporting Company under the CTA, but a Virginia general partnership is not. [read post]
4 Dec 2023, 4:58 am
It also stated that there would need to be a management agreement whereby GF would charge ENGenuity a monthly fee for services, and that GF would lend ENGenuity $100,000 for “initial working capital” to be repaid over five years. [read post]
1 Dec 2023, 8:06 am
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
30 Nov 2023, 7:38 am
The applicable legal test is a strict one. [read post]
30 Nov 2023, 6:41 am
Federici * Biosafe-One v. [read post]
30 Nov 2023, 4:50 am
Both cases involve what contract support costs the Indian Health Service is obligated to pay to Native American tribesthat manage their own health care programs. [read post]
29 Nov 2023, 10:40 am
For more information about our services, please visit www.riggsdavie.com or contact the author by email at mwilson@riggsdavie.com. [read post]
28 Nov 2023, 10:19 am
Properties LLC). [read post]
27 Nov 2023, 11:59 am
The Centers for Medicare and Medicaid Services (CMS) pays MA Plans a fixed (also known as capitated) amount for each enrolled beneficiary. [read post]
20 Nov 2023, 9:01 pm
The trustee lost one fraudulent-transfer case based on foreign sovereign immunity but survived motions to dismiss in two cases in which allegations of defendant complicity arguably hindered the ability of the defendants to avail themselves of theBankruptcy Code’s “safe harbor” provisions (as discussed below). [read post]
15 Nov 2023, 1:28 pm
As anticipated, the court granted review in one-time relist Diaz v. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
10 Nov 2023, 9:44 pm
The Great Recession saw roughly one in five employees lose their jobs. [read post]
10 Nov 2023, 10:56 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, advised Coborn’s Inc. on the sale of its 14 Holiday franchised fuel and convenience stores and one developmental site to Holiday Stationstores LLC. [read post]
9 Nov 2023, 9:01 pm
Indeed, enforcement is one of the SEC’s major activities and the Division of Enforcement is one of its largest operating units. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
6 Nov 2023, 9:46 am
Andrew Miles (Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. [read post]
3 Nov 2023, 10:39 am
This can include investing in start-ups, venture capital opportunities, or other private securities offerings. [read post]
2 Nov 2023, 9:04 am
In the Adopting Release, FinCEN stated that it is “not implementing additional exemptions beyond the twenty-three specific statutory ones at this time, including to cover non-depository institution holding companies” but that it “will continue to consider suggestions for additional exemptions. [read post]
