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2 May 2024, 6:53 am
D. [read post]
29 Apr 2024, 7:00 am
Santa Monica: A center for technology and innovation, Santa Monica’s startups and established tech companies require specialized tax advisors who understand R&D tax credits, stock option plans, and angel investor tax implications. [read post]
1 Apr 2024, 6:44 am
Under Second Circuit precedent, an exempt director can include a “director by deputization,” or an investor who deputizes an individual to serve as its representative on the issuer’s board.That was the case here: both the Chief Investment Officer and a managing director of the short-swing purchaser, Armistice Capital, sat on the issuer’s board. [read post]
19 Mar 2024, 11:42 am
In National Small Business United, d/b/a the National Small Business Association, et al. v. [read post]
7 Mar 2024, 6:59 am
WB Waste Solutions LLC, No. 8:23-cv-00963 (D. [read post]
4 Mar 2024, 7:12 am
HPI Real Estate Opportunity Fund IV, LLC Mill Green Opportunity Fund II, LLC The claim seeks damages of $100,000.01 and $300,000.00. [read post]
4 Mar 2024, 4:00 am
This dispute centers on the shares held by the estate of Edwin LeGard, a former investment manager who at the time of his passing owned 20 of NRL’s outstanding shares. [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]
9 Feb 2024, 6:30 am
Posted by John D. [read post]
9 Feb 2024, 6:30 am
Posted by John D. [read post]
31 Jan 2024, 9:01 pm
The ramifications of this decision could be significant, as the SEC often uses its in-house courts to seek monetary penalties, and studies reveal that the SEC wins cases it brings in its in-house courts at a much higher rate than those it tries in federal court.[6] We also should expect plaintiffs to attempt to maneuver in light of the Supreme Court’s decision in Slack Technologies LLC v. [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]
8 Jan 2024, 7:00 am
LS3, LLC v. [read post]
2 Jan 2024, 11:26 am
This strategy becomes a convenient tool in equity allocation management. [read post]
27 Dec 2023, 2:02 pm
He allegedly misled investors about the profits they’d make through two entities, Phoenix and Edger Management. [read post]
11 Dec 2023, 9:05 pm
Less well-known but of greater societal significance is Delaware equity’s contribution to matters of social justice. [read post]
1 Dec 2023, 10:00 am
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [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]
