Search for: "Capital Records, LLC"
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13 Nov 2023, 4:07 am
My co-panelists Chris Mercer (Mercer Capital) and William Savino (Woods Oviatt Gilman LLP) respectively spoke about the marketability discount in fair value appraisal proceedings and caselaw developments concerning closely held business corporations. [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]
10 Nov 2023, 7:44 am
Companies often use pre-IPO private placements to raise additional capital to fund their operations, expansion, or other business activities. [read post]
9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [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]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
1 Nov 2023, 12:38 pm
Short-term trading may trigger capital gains taxes, which can reduce the after-tax returns for investors. [read post]
1 Nov 2023, 10:57 am
Many of the allegations are in connection with unsuitable alternative investment recommendations, such as GPB Capital offerings. [read post]
27 Oct 2023, 7:12 am
(relisted after the Sept. 26, Oct. 6 and Oct. 13 conferences) 335-7 LLC v. [read post]
24 Oct 2023, 9:01 pm
Shaw.[10] That is the highest penalty on record for a standalone violation of the rule. [read post]
20 Oct 2023, 2:40 pm
Additionally, two of the firms also failed to comply with record-keeping rules which required their firms to keep a copy of every advertisement disseminated. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
11 Oct 2023, 11:17 am
ShareThe Relist Watch column examines cert petitions that the Supreme Court has “relisted” for its upcoming conference. [read post]
10 Oct 2023, 11:23 am
Issuance is a competitor: a financial technology company with a retail capital raising and investment processing platform. [read post]
9 Oct 2023, 2:34 pm
., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
5 Oct 2023, 2:38 pm
New York and 335-7 LLC v. [read post]
5 Oct 2023, 7:26 am
The claim was he was asked by his supervisor to falsify some accounting records. [read post]
4 Oct 2023, 7:34 am
In plain terms, the sicker the MA Plan’s enrollees, the higher the capitated payments. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
2 Oct 2023, 9:05 am
LePage Bakeries Park St., LLC. [read post]
