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23 Mar 2020, 12:24 am
The appellate court affirmed Justice Bucaria’s exercise of discretion in fixing a July 2012 valuation date, writing: The court should set the valuation date for the minority member’s interest by reference to the equities of the case (see Matter of Superior Vending, LLC [Tal—Plotkin], 71 AD3d at 1154). [read post]
10 Jan 2017, 7:20 am
He was also an associate with the law firm of Debevoise & Plimpton, where he represented clients in the financial services industry, including private equity investors in businesses and funds. [read post]
20 Jan 2017, 7:38 am
Sterling, LLC, a Garden City, New York, broker-dealer, from November 2011 to October 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Jan 2017, 7:38 am
Sterling, LLC, a Garden City, New York, broker-dealer, from November 2011 to October 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Mar 2009, 9:33 am
However, the specter of potential LP defaults is certainly a much more real concern today than ever before for the private equity industry. [read post]
4 Jun 2015, 11:30 am
New York Governor Andrew M. [read post]
4 Jun 2015, 11:30 am
New York Governor Andrew M. [read post]
12 Jun 2018, 6:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Griffith’s customer complaints allege that Griffith made unsuitable recommendations in equity securities. [read post]
29 Jan 2016, 9:59 am
A Manhattan state court dismissed a lawsuit alleging sexual harassment against a theater producer, Martian Entertainment, LLC v. [read post]
21 Jun 2022, 1:21 pm
He was previously employed with Rockwell Securities LLC (CRD#:142483) of New York, NY, and S.W. [read post]
7 Oct 2015, 7:55 am
Turner & Company, LLC, Grayson Financial, LLC, M.S. [read post]
12 May 2022, 6:40 am
NEW YORK COURT DECERTIFIES DRIVERS’ CLASS ACTION AGAINST NEW YORK LOGISTICS PROVIDER. [read post]
14 Apr 2015, 4:50 pm
Two days prior to The Wall Street Journal’s report, on March 30, 2015, the SEC’s Enforcement Division commenced public administrative and cease and desist proceedings against private equity investment adviser Lynn Tilton (Tilton), Patriarch Partners, LLC, Patriarch Partners VIII, LLC, Patriarch Partners XIV, LLC and Patriarch Partners XV, LLC (collectively, Patriarch). [read post]
22 Sep 2021, 12:53 pm
According to FINRA Disciplinary actions for September 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS John Barrett Emerson Equity LLC Lincoln Financial Advisors Corproation Amanda Berry MML Investors Services, LLC NYLife… [read post]
11 Feb 2024, 8:55 am
From Augst 2015 through January 2022 Baron was registered with Equity Services out of the firm’s Jericho, New York office location. [read post]
7 Aug 2011, 12:10 pm
. **** August 4 Sponsor: Infovest Event: Investor Seminar Location: New York August 4-5 Sponsor: Regroup LLC Event: Regroup, LLC – Important Voices 2011 Location: San Francisco August 10 Sponsor: SEHFA Event: 10th Annual SEHFA Barbeque Location: Atlanta August 10 Sponsor: YJP Hedge Fund Event: YJP Hedge Fund & Private Equity Summit Location: New York August 10 Sponsor: MFA Event: Lehman Brothers INc. [read post]
14 Feb 2014, 9:47 am
As alleged, the foreclosure rescue fraud was carried out from Empire Property Solutions LLC, Bethpage, New York. [read post]
2 Oct 2017, 6:43 am
Geake entered the securities industry in January 1995. [read post]
19 Jun 2020, 2:10 pm
They also have expertise in debt and equity financings, securities offerings, corporate governance, SEC compliance, shareholder and partnership agreements and LLC operating agreements. [read post]
14 Sep 2022, 12:32 pm
Since April 2019, Lippmann has been registered with and employed by Joseph Stone Capital LLC out of the firm’s New York, New York office location. [read post]
