Search for: "PROSPECT MORTGAGE, LLC"
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18 Oct 2023, 7:43 am
Thayer transferred funds from this client account and utilized these funds to pay personal expenses, including his mortgage. [read post]
21 Aug 2023, 9:42 am
The intricacies of FINRA arbitration can be challenging to navigate, and a skilled attorney with expertise in securities law can significantly enhance your prospects of a successful outcome. [read post]
21 Aug 2023, 4:45 am
Moreover, the court improperly determined that the defendants could not be held liable pursuant to the attorney judgment rule, i.e., that Weiss’s mortgage modification focused strategy, as merely the “selection of one among several reasonable courses of action[,] does not constitute malpractice” (Silverman v Eccleston Law, LLC, 208 AD3d 705, 707 [internal quotation marks omitted]). [read post]
18 Aug 2023, 7:20 am
On March 9, 2023, FINRA fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system reasonably designed to identify and respond to customer complaints; and not reporting certain written customer complaints to FINRA as required. [read post]
8 May 2023, 1:50 pm
Background Trevor Murray was research analyst for UBS Securities LLC. [read post]
17 Mar 2023, 3:33 pm
The FDIC initiates a Structured Transaction by forming an investment vehicle (typically an LLC) into which it contributes assets from one or more failed institutions in return for the equity interest in the LLC. [read post]
7 Feb 2023, 12:09 pm
An LLC must discharge any known claims or liabilities against the company, including prospective foreseeable claims, before the LLC can be formally canceled. [read post]
9 Jan 2023, 9:01 pm
Investors had alleged – through an initial complaint filed in September 2016 – that the social media company misled shareholders during a six-month period in 2015 about growth prospects and user engagement. [read post]
5 Jan 2023, 2:22 pm
Investors had alleged – through an initial complaint filed in September 2016 – that the social media company misled shareholders during a six-month period in 2015 about growth prospects and user engagement. [read post]
2 Dec 2022, 5:00 am
Alloy Advisory, LLC v. 503 W. 33rd St. [read post]
20 Nov 2022, 11:03 pm
Primarily they argued that the operating agreement contradicted the complaint’s allegation that the LLC’s business was limited to the condominium development project in the Dominican Republic, that the LLC never committed to proceed with the project by any particular deadline, and that the “mere fact” that it has taken 15 years to get a permit from the Dominican Republic’s Ministry of the Environment does not necessarily support plaintiff’s… [read post]
2 Nov 2022, 3:22 am
As a prospective business buyer, part of the challenge is figuring out exactly what you are buying. [read post]
18 Aug 2022, 9:01 pm
UBS Securities LLC, No. 20-4202 (2d Cir.). [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
19 May 2022, 8:11 am
.'” “Thomas, who is representing himself, initiated the case in August, arguing that McGuireWoods helped Northstar Mortgage Group LLC, mortgage database company Mortgage Electronic Registration Systems Inc. and Bank of America engage in mail fraud and in violating the Civil Rights Act of 1866 and various federal regulations. [read post]
11 Apr 2022, 11:28 am
The CFPB’s lawsuit names as defendants 1st Alliance Lending LLC and three individuals consisting of the company’s CEO, President of Production, and President of Capital Marketing. [read post]
1 Feb 2022, 4:08 pm
paid $18.25 million to resolve allegations that it invited customers and prospective customers to lavish all-expense-paid sporting, entertainment, and recreational events to generate s [read post]
20 Sep 2021, 6:45 am
Consumer First Legal Group, LLC, the CFPB filed an enforcement action in 2014 in which it alleged that the defendants violated Regulation O while providing mortgage-assistance relief services by making misrepresentations about their services, failing to make mandatory disclosures, and collecting unlawful advance fees. [read post]
