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20 Jan 2023, 10:43 am
This article summarizes the top 10 considerations in preparing LLC Operating Agreements, focusing on LLCs with multiple members. 1. [read post]
25 Apr 2018, 6:15 am
If you have a Sec. 1031 issue or any other tax issue, reach out to one of our top New York tax attorneys and get started on resolving your issue today. [read post]
18 Feb 2020, 10:01 pm
A single member LLC is typically set up for this . [read post]
2 Apr 2018, 6:07 am
and chat with one of our top New York tax attorneys. [read post]
1 Sep 2021, 1:36 pm
The Securities and Exchange Commission announced today that it has filed an action against BitConnect, an online crypto lending platform, its founder Satish Kumbhani, and its top U.S. promoter and his affiliated company, alleging that they defrauded…Read the Full Press ReleaseHave a securities law question? [read post]
15 Dec 2015, 2:53 pm
Unfortunately, Two Square Financial is not the top of the pyramid. [read post]
31 Aug 2011, 11:57 am
Farukiof of Aurora, Illinois and his advisory firm Neural Markets LLC solicited highly sophisticated individuals to invest in the "Evolution Quantitative 1X Fund," a hedge fund they managed that supposedly used a proprietary algorithm to carry out an arbitrage strategy involving trading in liquid exchange-traded funds (ETFs). [read post]
5 Nov 2010, 11:20 am
The Securities and Exchange Commission (SEC) has charged Brewer Investment Group, LLC (a registered investment adviser), Brewer Financial Services, LLC (a registered broker-dealer), Brewer Investment Advisors, LLC (the parent company) and its top executives with the sale of $5.6 million fraudulent and unregistered promissory notes to 74 of its investors. [read post]
24 Jan 2024, 4:29 pm
It was an active year for fraud enforcement at the Securities and Exchange Commission (SEC) and Commodities Futures Trading Commission (CFTC). [read post]
10 Feb 2022, 1:10 pm
The Securities and Exchange Commission today charged New York-based robo-adviser Wahed Invest, LLC with making misleading statements and breaching its fiduciary duty, and for compliance failures related to its Shari’ah advisory business. [read post]
4 Mar 2022, 8:05 am
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…Read the Full Press ReleaseHave a securities law question? [read post]
14 Feb 2022, 8:05 am
The Securities and Exchange Commission today charged BlockFi Lending LLC (BlockFi) with failing to register the offers and sales of its retail crypto lending product. [read post]
1 Feb 2022, 11:15 am
The Securities and Exchange Commission today announced charges against Safeguard Metals LLC, and its owner, Jeffrey Santulan, for engaging in a multi-million dollar fraudulent scheme involving hundreds of investors who were at or near retirement age. [read post]
3 Mar 2022, 7:55 am
The Securities and Exchange Commission today announced that registered investment adviser City National Rochdale, LLC (CNR) has agreed to pay more than $30 million to settle charges that its undisclosed conflicts of interest defrauded current and…Read the Full Press ReleaseHave a securities law question? [read post]
20 Dec 2021, 10:35 am
The Securities and Exchange Commission today charged registered investment adviser Global Infrastructure Management, LLC for failing to properly offset management fees and for making misleading statements about the fees and expenses it charged. [read post]
6 Apr 2011, 11:28 am
The United States Securities and Exchange Commission announced that Wells Fargo Securities LLC consented to an $11.2 million fine in connection with the sale of collateralized debt obligations (CDOs) in late 2006 and early 2007. [read post]
28 Jun 2021, 3:10 am
On top of about $19 million in third-party financing, West ended up contributing about $15 million. [read post]
19 Nov 2018, 3:46 am
As noted at the top of this post, I’m in no position to suggest that the outcome in Rosin was right or wrong. [read post]
1 Feb 2023, 2:39 pm
2021 was all about crypto, with four of the top ten recoveries relating to crypto offerings or exchanges. [read post]
7 May 2018, 3:28 am
Moreover, in support of their motion, the defendants submitted emails exchanged between the parties and their respective attorneys. [read post]
