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11 Mar 2024, 7:14 am
FINRA BrokerCheck Report – Jay Pocius According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry: 05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
27 Feb 2024, 10:55 am
Corporations are subject to more regulatory requirements, such as holding regular meetings, maintaining corporate records, and complying with tax laws. [read post]
26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
26 Feb 2024, 3:54 am
The complaint otherwise failed to state a cause of action for breach of contract or violation of Judiciary Law § 487 (1) (see generally Second Source Funding, LLC v Yellowstone Capital, LLC, 144 AD3d 445, 445-446 [1st Dept 2016]; Brookwood Cos., Inc. v Alston & Bird LLP, 146 AD3d 662, 669 [1st Dept 2017]; Facebook, Inc. v DLA Piper LLP [US], 134 AD3d 610, 615 [1st Dept 2015], lv denied 28 NY3d 903 [2016]; CPLR 3211 [a] [7]). [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]
21 Feb 2024, 4:00 am
World Champ Tech LLC v. [read post]
9 Feb 2024, 8:59 am
(HSI) and Capstone Capital Markets LLC (Capstone) (collectively, Huntington), which self-reported, agreed to pay a $1.25 million penalty. [read post]
7 Feb 2024, 7:12 am
7269882 TO THE ROOT OF YIELD 7291384 PENCE MEDIA GROUP 7289684 RUOFF INSURANCE 7273966 MAYFAIR CAPITAL PARTNERS 7283933 UNIQUELEE CREATIONS 7262222 ZEN BUFFALO CO 7274302 NEW SHOE DAY 7291383 PENCE MEDIA GROUP 7293550 SEW VIVID DESIGNS 7262669 FALCON PINS 7263474 7291941 CARE. [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]
30 Jan 2024, 11:07 am
Kaylor DST Services, LLC, No. 8:24-cv00003 (C.D. [read post]
30 Jan 2024, 9:50 am
Such systems go well beyond review of the income statement and balance sheet and must focus on operating cash flows, capital expenditures and other key [read post]
29 Jan 2024, 10:48 pm
Late last week they filed a federal court copyright infringement and right of publicity lawsuit against Dudesy, LLC, along with Sasso and Kultgen personally (read the complaint here). [read post]
25 Jan 2024, 12:25 pm
The lawsuits reportedly allege that Willy advised clients to invest their retirement funds in risky and unregistered securities issued by Ferrum Capital LLC, a Lubbock-based company. [read post]
23 Jan 2024, 12:05 pm
His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, expelled by FINRA on 09/14/2010) of Chicago, IL. [read post]
22 Jan 2024, 3:32 am
Indeed, as discussed above, the record indicates that Mr. [read post]
21 Jan 2024, 12:30 pm
Endeavor Capital North, 93 Mass. [read post]
19 Jan 2024, 7:37 am
(CRD#:18456), Wauwatosa, WI, B, 06/12/2014 – 12/23/2019, QUEST CAPITAL STRATEGIES, INC. [read post]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
18 Jan 2024, 5:12 am
Returning Relists 74 Pinehurst LLC v. [read post]
17 Jan 2024, 3:36 am
“Plaintiff Green Oak Stockade View Apartments, LLC, of which plaintiffs William A. [read post]
