Search for: "Capital Records, LLC"
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29 Jul 2020, 6:00 am
GPB Capital Holdings, LLC, C.A. [read post]
15 Nov 2023, 5:55 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
25 Nov 2006, 3:06 pm
In West Coast Management & Capital, LLC v. [read post]
25 Oct 2010, 4:00 am
In Cooperstown Capital, LLC v. [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]
25 Sep 2018, 7:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Worden Capital Management LLC (Worden Capital) broker Michael Rosalia (Rosalia) has been subject to six disclosed customer complaints, eight tax liens or judgements, and two financial disclosures including bankruptcy. [read post]
11 Aug 2014, 11:47 am
The only record the LLC produced was a copy of the articles of organization. [read post]
13 Oct 2019, 11:14 pm
In the latter instance of indeterminate or floating interests, the operating agreement can become a curse if eligible capital contributions aren’t adequately defined and/or it establishes no reliable mechanism for recording them, especially non-cash contributions such as services or property. [read post]
24 Sep 2018, 2:31 am
In his complaint, Patrick alleged that the capital call was made “to retaliate against and oppress Patrick” for exercising his statutory right to demand an inspection of books and records; that it was “out-of-step with [the LLC’s] purpose as an entity — which is to passively hold the Yu Family’s Bedford country estate”; and that his siblings knew Patrick did not have the funds to contribute. [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]
23 Feb 2024, 1:54 pm
Proven Track Record: The firm’s track record of successfully resolving complex legal disputes, including LLC member derivative claims, speaks to their capability and expertise in this area. [read post]
25 Jan 2019, 4:18 pm
-Keep the LLC records organized. [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Brian Wudemann (Wudemann), currently employed by RBC Capital Markets, LLC (RBC Capital) has been subject to at least seven customer complaints during the course of his career. [read post]
9 Sep 2012, 10:00 pm
Another limited liability company (LLC) without a written operating agreement or regularly maintained books and records memorializing the ownership interests of the members. [read post]
10 Feb 2019, 5:42 am
Firstsun Capital Bancorp, C.A. [read post]
4 Feb 2024, 3:17 pm
This can take the form of claims that a managing member falsified the LLC’s accounting records and tax filings to record values for cash contributions that were never made or for services that never were disclosed or the subject of an agreed valuation among the members. [read post]
26 Mar 2013, 10:05 am
Last week, the SEC reached a settlement with CR Intrinsic Investors, LLC, which tore up the record books on insider trading cases. [read post]
13 Apr 2021, 4:42 am
McDonald Partners LLC broker Rita Mansour may have recommended GPB Capital funds or other investments in private placement offerings to clients. [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]
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]
