Search for: "Above The Bar Investments, LLC"
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31 May 2024, 11:27 am
This pioneered the current SPAC structure using a PIPE investment and tender offer. [read post]
1 May 2024, 1:18 pm
Department of Justice and the whistleblowers’ bar.[1] In its U.S. ex rel. [read post]
22 Mar 2024, 9:07 am
Ron Bucher, Pinnacle Investments: Customers Allege Unauthorized Trading According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Pinnacle Investments broker Ron Bucher (CRD#: 1804910) from associating with any FINRA member at any time. [read post]
5 Mar 2024, 11:35 am
Trademark Office issued the following 204 trademark registrations to persons and businesses in Indiana in February 2024 based on applications filed by Indiana trademark attorneys: Registration Number Wordmark 7309930 AIRFEET 7298640 PERQ CONVERT 7317144 ENVIRON 7302107 PAINT & DECORATING RETAILER 7308828 7312041 KIRKWOOD CANDLE BAR 7296488 PET FRIENDLY SERVICES OF INDIANA 7305310 INCREMENTAL INCAPACITATION 7308372 OFFICER HARPER 7310598 CVC 7300656 FLEXSTYLE… [read post]
26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
23 Feb 2024, 11:06 am
FINRA, the securities regulator, reportedly barred Gary Chang in December 2022, for the above allegations. [read post]
14 Feb 2024, 9:37 am
See In re 1729 Investments LLC, Serial No. 90694523 (April 24, 2023) [not precedential]. [read post]
12 Feb 2024, 6:07 am
” As noted above, the primary fiduciary breach claim in the massive and detailed complaint is that J&J defendants mismanaged the plan’s specialty drug program, particularly with respect to generic-specialty drugs. [read post]
22 Jan 2024, 3:32 am
Indeed, as discussed above, the record indicates that Mr. [read post]
4 Jan 2024, 12:10 pm
The securities regulator barred her from the industry as of December 13, 2023. [read post]
29 Nov 2023, 9:01 pm
In addition, the SEC also filed its first actions against issuers of non-fungible tokens (“NFTs”) in August and September 2023; Impact Theory LLC and Stoner Cats 2 LLC both settled the Commission’s cases against them.[9] Finally, the press release did not discuss the outcome of the SEC’s litigated case against Ripple Labs, where the U.S. [read post]
29 Nov 2023, 4:02 am
“Generally, a valid release constitutes a complete bar to an action on a claim that is the subject of the release” (Nucci v Nucci, 118 AD3d 762, 763; see Burnside 711, LLC v Amerada Hess Corp., 175 AD3d 557, 559). [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
3 Oct 2023, 9:01 pm
(These figures exclude follow-on actions, bars and suspensions.) [read post]
9 Jun 2023, 4:47 pm
Eastgate of Jackson, LLC (Tenn. [read post]
17 Apr 2023, 9:52 am
Based on the above conduct, RBC violated FINRA Rules 3110 and 2010. [read post]
11 Apr 2023, 8:52 am
City of Oakland, et al (Athletics Investment Group, et al, Real Parties in Interest) (2023) ___ Cal.App.5th ___. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
22 Feb 2023, 1:07 pm
Patent TPLF funds generally promise roughly 20% internal rates of return to funders (IRR) year-over-year, or about a 2x to 2.5x return on investment over generally four- or five-year investment cycles, suggesting, at least at the pitch level, that these investments are lucrative for the funders.[15] The biggest (or at least most well-known) players—Magnetar Capital, Burford Capital, Fortress Investment Group, Omni Bridgeway, and Curiam Capital, to name… [read post]
