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11 Jul 2022, 8:56 am
FINRA Censures and Fines McDonald Partners LLC in connection with Private Placement Investments According to The Financial Industry Regulatory Authority (FINRA) on June 22, the regulator censured and fined McDonald Partners LLC $100,000 and ordered it to pay restitution of $170,000 plus interest for alleged rules violations in connection with the sales of private placement investments. [read post]
6 Apr 2015, 6:23 pm
However, according to FINRA, the Solicitation failed to disclose PNote LLC’s net operating losses as well as TNP’s poor financial condition. [read post]
10 May 2022, 7:02 am
Torch Securities LLC Censured and Fined for Supervisory Issues in Connection with Private Placement offerings According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Torch Securities LLC (CRD No. 133642) $17,500 for supervisory issues. [read post]
7 May 2019, 7:54 am
Fusion’s IPO in 2018 netted the company $38,709,000. [read post]
28 Jun 2021, 3:10 am
It was undisputed at trial that West’s capital account would wipe out any equity in the hotel upon a sale of the property, i.e., all net sale proceeds would go to West. [read post]
4 Aug 2023, 10:18 am
The franchise, CLB Investments LLC, was fined $56,106 for the violations. ( INSURANCE JOURNAL ) —Compiled by SNCJ Managing Editor KOREY CLARK Please visit our webpage to connect with a State Net representative and learn how the State Net legislative and regulatory tracking solution can help you identify, track, analyze and report on relevant legislative and regulatory developments. [read post]
18 Jan 2024, 1:30 pm
The White Law Group reviews the regulatory history of Cabot Lodge Securities LLC. [read post]
21 Sep 2022, 6:28 am
That means the company’s net income is the same as your taxable income, thus avoiding double taxation. [read post]
31 Jan 2022, 6:00 am
Georgia Notes 18, LLC v. [read post]
26 Dec 2013, 8:56 am
The case is New Jersey Basketball LLC v. [read post]
26 Dec 2013, 8:56 am
The case is New Jersey Basketball LLC v. [read post]
26 Dec 2013, 8:56 am
The case is New Jersey Basketball LLC v. [read post]
2 Dec 2010, 2:29 pm
While VDC is also a safety-net, it provides veterans with tax-free cash benefits for service-connected illnesses or injuries. [read post]
8 Jul 2020, 6:53 am
GPB Capital Entities GPB Cars 12, LLC, GPB 5 LLC and GPB 8 LLC Receive Millions in Forgivable Fed loans Have you suffered losses investing in GPB Cars 12 LLC, GPB 5 LLC or GPB 8 LLC? [read post]
21 Jun 2010, 8:20 am
Meyer & Associates in connection with their purchases of MAT municipal arbitrage fund investments. [read post]
6 Apr 2020, 12:41 am
The managers used the net sale proceeds as a down payment made by a newly formed LLC to purchase another building, but the purchase never materialized. [read post]
1 Sep 2023, 10:28 am
” ( CNBC ) —Compiled by SNCJ Managing Editor KOREY CLARK Please visit our webpage to connect with a State Net® representative and learn how the State Net legislative and regulatory tracking solution can help you identify, track, analyze and report on relevant legislative and regulatory developments. [read post]
13 Nov 2016, 2:30 pm
According to print media accounts, 17 of the 34 homebuyers filed a statement of claim on September 30, 2016 commencing an arbitration proceeding against Pacific Housing, Inc., 2500 R Group LLC, and Pach Sustainable, LLC for falsely advertising that the houses were net zero energy and LEED certified. [read post]
3 Oct 2013, 4:21 pm
Siegel for misappropriating funds in connection with two commodity pools. [read post]
20 Oct 2022, 5:18 am
Recommendations should be appropriate in light of the investor’s age, risk tolerance, net worth, and investment experience. [read post]
