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18 Jan 2024, 1:30 pm
Cabot Lodge Censured and Fined by FINRA May 6, 2015 – From October 16, 2012, through December 12, 2012, Cabot Lodge Securities allegedly conducted securities business on various dates while failing to maintain its required minimum net capital. [read post]
19 Dec 2013, 5:44 am
For instance, one customer had 111% of his stated net worth concentrated in the Empire Debentures and four customers had more than 30% of their stated net worth concentrated in the Empire debentures. [read post]
10 Dec 2015, 8:36 am
Sun Dental Holdings, LLC $20,000,000 Class A Common Units Form 1-A filed Sept. 3, 2015; SEC qualification filed Dec, 1, 2015 Tier 2 offering to accredited and non-accredited investors ($10,000 minimum investment) Audited financials Business: traditional dental device manufacturing as well as digital scanning, cloud-based data management system and 3D printing to produce dental devices Use of proceeds: working capital, strategic acquisitions, debt service and acquisition of a… [read post]
6 Feb 2017, 3:26 am
Court Resolves LLC Members’ Dispute Over “Return on Capital” vs. [read post]
2 Dec 2015, 6:36 am
From May 2007 onward Darmodihardjo has been associated with Rockwell Global Capital LLC out of the firm’s Fort Lauderdale, Florida branch office location. [read post]
23 Sep 2013, 12:21 pm
VSR is based in Overland Park, Kansas, has 211 branch offices, and employs approximately 460 registered personnel. [read post]
22 Nov 2013, 6:10 am
Thereafter, Konner became employed with DPec Capital. [read post]
17 Nov 2011, 7:46 am
The indictment alleges that the packages contained fraudulent personal financial statements and/or monthly bank statements which overstated the net worth and equity injection of the borrowers and falsely enhanced the creditworthiness of the borrowers and their businesses. [read post]
17 Nov 2011, 7:46 am
The indictment alleges that the packages contained fraudulent personal financial statements and/or monthly bank statements which overstated the net worth and equity injection of the borrowers and falsely enhanced the creditworthiness of the borrowers and their businesses. [read post]
13 Oct 2021, 8:24 am
This reduces the German CFC's taxes (assuming Germany allows the interest deductions despite, e.g., its thin capitalization rules), without any Caymans offset given that it's a tax haven. [read post]
21 Aug 2010, 9:29 am
Venture Capital Domestic Hedge Funds Standard Structure Section 3(c)1 Hedge Funds Section 3(c)7 Hedge Funds Why is a Hedge Fund Structured as a LP? [read post]
19 Sep 2015, 7:56 pm
By its terms, during petitioner’s lifetime, the co-trustees are directed to "pay to petitioner or apply for her benefit the entire net income of this trust, in quarter-annual or more frequent installments as may be convenient to the trustees". [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
24 May 2019, 9:41 am
In return, the individuals’ human capital adds value to the enterprise. [read post]
17 Jan 2019, 9:01 pm
Under Senate Bill 6, executive branch lobbyists would have to file with the Executive Branch Ethics Commission their payment and could not work for any type of contingency fee. [read post]
14 Nov 2022, 1:22 pm
Given the concern that a majority of the Supreme Court has increasingly expressed over actions by regulatory agencies—including the FTC, specifically, in AMG Capital Management LLC v. [read post]
20 Jan 2022, 12:16 pm
”[18] Hurt and Stancil propose that “Congress could make statutory changes to ensure that the class that is certified has only typical investors and that only those net losses caused by the false statement in questions are calculated as damages. [read post]
6 Nov 2018, 11:51 am
The federal government is made up of the executive, legislative and judicial branches, and each province has three similar branches, as well. [read post]
1 Apr 2021, 9:38 am
The legislative branch is comprised of the Parliament and the President of the Republic, currently Katerina Sakellaropoulou. [read post]
