Search for: "New York Capital Investments, LLC"
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2 May 2024, 12:35 pm
RBC Capital Markets (CRD#: 31194/SEC#: 801-13059,8-45411), a dual registered broker dealer and registered investment advisory firm, is headquartered in New York, NY. [read post]
22 Apr 2024, 12:35 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
19 Apr 2024, 1:43 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
19 Apr 2024, 1:34 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
19 Apr 2024, 1:23 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
3 Apr 2024, 9:01 pm
”[8] The court went on to observe that “[u]sing enforcement actions to address crypto-assets is simply the latest chapter in a long history of giving meaning to the securities laws through iterative application to new situations. [read post]
1 Apr 2024, 6:44 am
By Anne Sherry, J.D.The Southern District of New York dismissed a derivative lawsuit seeking disgorgement of short-swing profits. [read post]
19 Mar 2024, 12:49 pm
Bankruptcy Court for the Southern District of New York on January 19, 2023. [read post]
1 Mar 2024, 8:33 am
The Securities and Exchange Commission announced settling charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for trucking fleet company Ryder System Inc. [read post]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
4 Feb 2024, 3:17 pm
LLCs and Indeterminate Membership Interests The default rules under New York’s LLC Law are modeled on what I call indeterminate or variable membership interests. [read post]
1 Feb 2024, 1:34 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
1 Feb 2024, 11:55 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
31 Jan 2024, 9:01 pm
District Court for the Southern District of New York granted Macquarie’s motion to dismiss, holding that the plaintiffs had failed to plead an actionable misstatement or omission, a violation of Item 303, and scienter. [read post]
23 Jan 2024, 12:05 pm
His previous employers include Navian Capital Securities LLC (CRD#:145037) of Cincinnati, OH, Newbridge Securities Corporation (CRD# 104065) of New York, NY, and Chicago Investment Group, LLC (CRD# 11853, expelled by FINRA on 09/14/2010) of Chicago, IL. [read post]
23 Jan 2024, 9:30 am
His previous employers include Arive Capital Markets (CRD# 8060) of Bay Ridge, NY, Vision (CRD# 47927) of Stamford, CT, and Rothschild Lieberman LLC (CRD# 10030) of New York, NY. [read post]
22 Jan 2024, 8:08 am
According to his FINRA BrokerCheck profile, Hales was affiliated with the following firms: B, 09/26/2018 – 03/07/2022, VIRTU AMERICAS LLC (CRD#:149823), Austin, TX B, 05/11/2016 – 04/09/2020, VIRTU FINANCIAL BD LLC (CRD#:148390), AUSTIN, TX B, 05/11/2016 – 12/24/2018, VIRTU FINANCIAL CAPITAL MARKETS LLC (CRD#:45986), NEW YORK, NY If you have suffered losses investing with… [read post]
22 Jan 2024, 3:32 am
And New York caselaw on the issue leaves plenty to be desired. [read post]
18 Jan 2024, 1:30 pm
Headquartered in New York, Cabot Lodge employs approximately 182 registered representatives in approximately 117 branch offices. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
