Search for: "Moore Capital Management LLC "
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20 Jul 2016, 11:30 am
Following the hosting of a rambunctious Fourth of July party in the Hamptons, Moore Capital Management has fired fund manager Brett Barna. [read post]
22 Jun 2010, 8:06 am
In Mooring Capital Fund, LLC v Comstock North Carolina, LLC (07 CVS 20852, Wake Co., Business Ct.), 2006 WL 46447078, 2009 NCBC 26, Judge Jolly was ruling on motions to stay, dismiss, and appoint a receiver.In the course of issuing his ruling, the Judge opined, for what appears to be the first time in North Carolina, that, just as directors of a corporation are, the managers of an LLC are protected by the business judgment rule. [read post]
22 Jun 2010, 8:06 am
In Mooring Capital Fund, LLC v Comstock North Carolina, LLC (07 CVS 20852, Wake Co., Business Ct.), 2006 WL 46447078, 2009 NCBC 26, Judge Jolly was ruling on motions to stay, dismiss, and appoint a receiver.In the course of issuing his ruling, the Judge opined, for what appears to be the first time in North Carolina, that, just as directors of a corporation are, the managers of an LLC are protected by the business judgment rule. [read post]
22 Jun 2010, 8:06 am
In Mooring Capital Fund, LLC v Comstock North Carolina, LLC (07 CVS 20852, Wake Co., Business Ct.), 2006 WL 46447078, 2009 NCBC 26, Judge Jolly was ruling on motions to stay, dismiss, and appoint a receiver.In the course of issuing his ruling, the Judge opined, for what appears to be the first time in North Carolina, that, just as directors of a corporation are, the managers of an LLC are protected by the business judgment rule. [read post]
26 Jul 2011, 1:37 pm
Furthermore, a monitor (employed at this own expense) will ensure that Pia complies with this order for a five-year period and imposes considerable record-keeping and new registration obligations.Previously the CFTC settled similar charges against Moore Capital Management, LP (MCM), Moore Capital Advisors, LLC (MCA) and Moore Advisors, Ltd. [read post]
16 Nov 2009, 3:40 am
But now, we have Mooring Capital Fund, LLC v. [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc. $410,000 $110,150 … [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers… [read post]
5 Jul 2010, 1:55 pm
Barron Moore Inc. - The Financial Industry Regulatory Authority (FINRA) expelled Barron Moore in June 2008 over penny stock sales. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
4 Jan 2011, 7:32 am
$100,000 $2,250 Barron Moore Inc [read post]
27 Oct 2011, 12:30 pm
• Securities Network LLC • Asset Management Strategies LLC • Okoboji Financial Services Inc. [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua Wells Fargo Clearing Services, LLC Country… [read post]
20 Mar 2012, 7:17 am
” Welsh received market-on-close orders to buy palladium and platinum futures contracts from Christopher Pia, a former portfolio manager of Moore Capital Management, LLC. [read post]
9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford… [read post]
25 Aug 2023, 5:58 pm
White, Partner and Chair of the Corporate Governance and Board Advisory Practice, Cravath, Swaine & Moore LLP; Tammy L. [read post]
16 Dec 2010, 5:46 pm
Jason Moore – MSI’s CEO and majority shareholder, also the alter ego of the Moore Shell Companies - JMW Holings, LLC and La Quinta Holdings, LLC Nathan Jurczyk - MSI’s Senior Vice President and an MSI Shareholder Eric Madura - MSI’s Manager of Corporate Operations Robert Parisi – MSI’s Senior Vice President and an MSI Shareholder Fiona Walshe – A former MSI sales manager AlicynRoy–A senior account… [read post]
20 Oct 2011, 7:17 am
For example, this month Investors Capital Corp settled the claims against it for selling $3.4 million in the private placements. [read post]
30 Jan 2020, 11:44 am
Founded by serial Internet entrepreneur and former Cravath, Swaine, and Moore associate Andrew D. [read post]
12 Aug 2008, 2:00 pm
Insurance 3 Ben Silver Fuel Outdoor Acquisitions 3 Alex Yaroslavsky Yaro Group, LLC Mediator 3 David Cassese Apex Appraisal Group Appraisal - Residential 2 Paul Wong Concept Realty NY Commercial Broker 1 Sherri Fried RED STONE TITLE & ABSTRACT, LLC Title Insurance 3 AARON KAGAN STUYVESANT HEIGHTS PROPERTIES LLC INVESTOR/OWNER 2 Franklin Burrowes OODA & Co, Inc Investor / Owner 3 Ronald Gold Gold Appraisal … [read post]
