Search for: "Lee Group Management LLC" Results 1 - 20 of 246
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30 Sep 2010, 10:23 am by Keith L. Miller
September 30, 2010 - Benjamin Lee Grant, of Boston, Massachusetts, allegedly ran his brokerage firm, Sage Advisory Group, LLC, as a massive investment scam. [read post]
13 Aug 2015, 11:41 am by Adam Nicolazzo
Lee, a former AXA Advisors, LLC broker who was recently terminated by the firm in April 2015. [read post]
12 Jun 2015, 9:01 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Sage Advisory Group, LLC, and its principal, Benjamin Lee Grant, were ordered to pay $1,051,038 after being found liable in two separate fraud cases filed by the SEC.In the first case, the SEC alleged that Lee Grant made false and misleading statements to former brokerage customers in an attempt to have them transfer their assets to a new advisory firm he had founded, Sage Advisory Group, LLC. [read post]
14 Oct 2013, 1:40 pm
Marx Sterbcow, Managing Attorney of the Sterbcow Law Group LLC, has been selected to speak on a panel at the National Council of State Housing Agencies' 2013 Annual Conference & Showplace at the New Orleans Marriott Hotel on Tuesday, October 22, 2013 from 9:30am-10:45am. [read post]
6 Jun 2023, 11:23 am by Steve Bainbridge
In Lee, the plaintiff-shareholder brought a derivative Borak claim in federal court against the directors and officers of The Gap, alleging failures in the management’s efforts to promote racial diversity within the company’s leadership ranks. [read post]
19 Mar 2020, 10:35 am by Chris Wesner
The Debtors also filed the declaration of Amy Lee (the “Lee Declaration”) (Doc. 5), a senior director at Alvarez & Marsal North America, LLC (“Alvarez”), the financial advisor to the Debtors. [read post]
16 Jan 2007, 11:02 pm
KL Group LLC, KL Triangulum Management LLC, and KL Florida LLC, the three hedge fund-adviser companies owned and operated by the three defendants, were also named in the indictment. [read post]
10 Jun 2012, 5:33 pm by admin
There was a fatal motorcycle accident on Friday night, June 8, in Lee County, Illinois. [read post]
25 Apr 2019, 9:07 am by Unknown
”Commission-appointed Committee members include:Robert Fox - National Managing Partner, Professional Standards Group, Grant Thornton LLP; Chicago, ILCarla Garrett - Corporate Partner, Potomac Law Group PLLC; Washington, DCStephen Graham - Co-Chair, Fenwick & West LLP’s Life Sciences Practice; Seattle, WASara Hanks - CEO and Co-Founder, CrowdCheck, Inc.; Alexandria, VAYoungro Lee - CEO and Co-Founder, NextSeed; Houston, TXBrian Levey - Chief… [read post]
21 May 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended 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   Belesis, George   Portfolio Advisors Alliance, LLC   John Thomas Financial   Berghausen, Joseph   ADP Broker-Dealer, Inc   Cetera Advisor Networks… [read post]
20 Jan 2016, 8:00 am by Dennis Crouch
Eligibility Challenges: Retirement Capital Access Management Company, LLC v. [read post]
26 Feb 2021, 9:25 am by Renae Lloyd
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
4 Mar 2016, 12:25 pm by Dennis Crouch
Eligibility Challenges: Retirement Capital Access Management Company, LLC v. [read post]
1 Jun 2010, 2:07 pm by Lawrence B. Ebert
The largest nonpracticing entity is Intellectual Ventures Management LLC, started by a former Microsoft Corp. executive, with from 10,000 to 15,000 groups of patents, according to PatentFreedom. [read post]
28 Mar 2013, 8:01 am
Many of these nursing homes, Lee said, are able to get away with it by essentially creating shell operations of LLCs that on paper appear to be quite poor. [read post]