Search for: "First Equities Financial LLC"
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7 Jun 2024, 1:18 pm
The charges stem from their alleged involvement in recommending investments in Horizon Private Equity, III, LLC (Horizon), a Ponzi scheme purportedly operated by John J. [read post]
31 May 2024, 11:49 am
Supervisory and Record Keeping Violations May 9, 2024: The Financial Industry Regulatory Authority (FINRA) reportedly reached a settlement with Merrill Lynch addressing supervisory and recordkeeping deficiencies related to the execution of retail equity orders. [read post]
31 May 2024, 11:27 am
Founded Global BPO Services (a SPAC) and completed a $250 million blank check IPO, which was used to acquire Stream Global Services in 2008 amid the financial crisis. [read post]
22 May 2024, 1:33 pm
BERKLEY INSURANCE COMPANY; THE TEMPO AT ENCORE, LP, a Florida limited partnership; RBC TAX CREDIT EQUITY, LLC, a foreign limited liability company; RBC TAX CREDIT MANAGER II, INC., a foreign corporation; and HOUSING FINANCE AUTHORITY OF HILLSBOROUGH COUNTY, a political subdivision of the State of Florida, Appellees. 2nd District. [read post]
15 May 2024, 1:32 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
7 May 2024, 1:23 pm
First, J&J is trying to make LTL 3.0 only about ovarian and other gynecological cancer claims. [read post]
22 Apr 2024, 1:35 am
The first by paying a “reasonable salary” to the shareholders, who are then responsible for taxes on that income. [read post]
9 Apr 2024, 2:41 pm
In Raiser LLC (Uber) v. [read post]
25 Mar 2024, 3:00 am
Obtaining a home equity loan from First Republic Bank, Cohen funneled $130,000 through his shell company Essential Consultants LLC to attorney Keith Davidson, Daniels’ lawyer at the time, who then compensated her. [read post]
19 Mar 2024, 8:28 am
At first, you may incur losses, which may be deductible against future profits. [read post]
29 Feb 2024, 8:54 am
(CRD#:5685), PARAMUS, NJ,B, 12/09/2010 – 12/22/2011, HARTFORD EQUITY SALES COMPANY INC. [read post]
27 Feb 2024, 6:26 am
The Cantor Court unanimously reversed the Delaware Chancery Court’s ruling, which had rejected as unenforceable a financial services company’s limited partnership agreement clause under which a limited partner’s equity is forfeited if the partner violates non-competition provisions. [read post]
13 Feb 2024, 8:44 am
This includes corporations, LLCs, and most limited liability partnerships. [read post]
8 Feb 2024, 7:47 am
The retaliation judgment resulted from a Labor Department lawsuit filed against Milford Sports Bars LLC, doing business as Champions Grill and Bar, and its owner, Loren Drotos, who is also known as Mark Roberts, Mark Drotos and Mark Lawrence. [read post]
8 Feb 2024, 3:30 am
After graduating from Rutgers University, I worked as an account manager in group insurance at Prudential Financial for 9 years. [read post]
5 Feb 2024, 10:06 am
In the following guest post, Anne Catapano, VP Financial Lines Claims, Ascot Insurance Company, Christina Errico, VP, Professional Liability Claims Manager, Ascot Insurance Company, Elan Kandel, Member, Bailey Cavalieri LLC, James Talbert, Associate, Bailey Cavalieri LLC and Tyler Hopkins, Associate, Bailey Cavalieri LLC, review the past year’s key management and professional liability insurance coverage decisions. [read post]
1 Feb 2024, 1:34 pm
According to FINRA Disciplinary actions for January 2024, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Scott Reed First Financial Equity Corporation Wells Fargo Clearing Services, LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted… [read post]
29 Jan 2024, 12:00 pm
Ponzi Scheme Allegations April 19, 2022 – Financial Advisor Shawn Good Barred after Allegations of Running Ponzi Scheme Financial advisor Shawn Good from Wilmington, NC, was charged by the Securities and Exchange Commission (SEC) for allegedly running a multimillion-dollar Ponzi scheme. [read post]
29 Jan 2024, 4:00 am
However, the CTA and NYLTA differ in three main respects: First, while the CTA provides 90 days for newly formed entities to file their initial reports in 2024, under the NYLTA, newly formed LLCs must file their initial report immediately upon filing the articles of organization for an LLC being formed under New York law or with the filing of the initial application for authority filed by a foreign LLC. [read post]
25 Jan 2024, 6:06 pm
Did your financial advisor recommend investing in non-traded REITs? [read post]
