Search for: "D&E Investments, LLC"
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19 Apr 2024, 1:46 am
Certain exempt businesses: Some specific business types, like banks, credit unions, and registered investment companies, are also exempt from filing. [read post]
30 Mar 2024, 5:14 am
Nov. 20, 2023); Beba LLC v. [read post]
18 Mar 2024, 6:00 am
By: Laurie E. [read post]
9 Feb 2024, 6:30 am
Posted by John D. [read post]
9 Feb 2024, 6:30 am
Posted by John D. [read post]
7 Feb 2024, 8:23 am
The post Great Bonuses for Filipinos 10 appeared first on Infinity Law Group LLC. [read post]
26 Jan 2024, 1:40 pm
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
13 Dec 2023, 2:58 am
Peralta, under the supervision of Labor Enforcement Section Chief Eve E. [read post]
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]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
15 Nov 2023, 6:26 am
E. [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]
24 Oct 2023, 9:01 pm
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
20 Oct 2023, 2:40 pm
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
3 Oct 2023, 9:01 pm
July 20, 2023, settled) The SEC settled claims against an investment adviser for failure to disclose SPAC [read post]
29 Sep 2023, 9:00 am
E. [read post]
21 Sep 2023, 7:20 am
Weiss & Ashley E. [read post]
16 Aug 2023, 10:52 am
[vii] The SEC claimed that Jarkesy, along with his advisory firm Patriot28, LLC, made false representations to their investors, including falsely advising that a prominent accounting firm and investment bank served as the funds’ auditor and broker, respectively, and misrepresenting the funds’ investment strategies and overvaluing the funds’ holdings. [read post]
14 Jul 2023, 6:30 am
Huber, Sarah E. [read post]
