Search for: "D & D Management and Investement, LLC"
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3 Jul 2017, 5:07 am
July 25, 2017 - 2 PM: In re Guild Mortgage Company, Serial No. 86709944 [Section 2(d) refusal of the mark shown below for "mortgage banking services, namely, origination, acquisition, servicing,securitization and brokerage of mortgage loans" [MORTGAGE COMPANY disclaimed] in view of the registered mark GUILD INVESTMENT MANAGEMENT for "Investment advisory services" [INVESTMENT MANAGEMENT disclaimed].July 25, 2017 - 3 PM: In re… [read post]
24 Feb 2012, 2:44 pm
If you invested with Aaron D. [read post]
28 Jul 2010, 9:32 am
By John Ottaviani Buckles Management, LLC v. [read post]
22 Feb 2016, 4:36 pm
This paper is intended for the insurance professional as an additional introduction to this increasingly relevant and ever evolving management liability product. [read post]
5 Oct 2011, 3:17 pm
Tom D. [read post]
22 May 2020, 8:19 am
LLC, May 20, 2020, per curiam). [read post]
9 Nov 2016, 7:11 am
The alternative investments included non-traded REITs, debentures and equipment leasing funds.Lastly, the CFP Board permanently revoked the CFP certification of Family Endowment Partners managing partner Lee D. [read post]
18 Jul 2008, 4:59 pm
FLANNERY COREY D. [read post]
27 Mar 2013, 1:43 pm
EB-5 stakeholders must act to protect the integrity of the EB-5 investment market in the wake of the SEC fraud complaint against the International Regional Center Trust of Chicago, LLC. [read post]
4 Aug 2023, 10:18 am
The franchise, CLB Investments LLC, was fined $56,106 for the violations. ( INSURANCE JOURNAL ) —Compiled by SNCJ Managing Editor KOREY CLARK Please visit our webpage to connect with a State Net representative and learn how the State Net legislative and regulatory tracking solution can help you identify, track, analyze and report on relevant legislative and regulatory developments. [read post]
27 Oct 2011, 12:30 pm
• Securities Network LLC • Asset Management Strategies LLC • Okoboji Financial Services Inc. [read post]
21 Apr 2021, 12:30 pm
Silver Law Group is suing Mario D. [read post]
29 Oct 2013, 8:57 am
EagleEye Asset Mgmt., LLC, No. 11-11576-WGY (D. [read post]
22 Sep 2019, 3:00 am
Sources: SEC Charges Investment Adviser with Custody Rule and Related ViolationsSEC Order – ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff Private Fund Manager Completely Shirked His Compliance Obligations [read post]
28 Feb 2011, 10:34 am
Christopher D. [read post]
14 Nov 2022, 5:10 am
That month, it filed a Form D Notice of Exempt Offering of Securities stating that the fund was relying on the registration exemption of Regulation D Rule 506(c). [read post]
8 Feb 2019, 6:04 am
Potential Changes to Fund of Funds Arrangements Posted by Thomas Hiller, Brian McCabe, and Edward Baer, Ropes & Gray LLP, on Friday, February 1, 2019 Tags: Exchange-traded funds, Investment advisers, Investment Advisers Act, Investor protection, Risk management, SEC, SEC rulemaking, Section 12(d), Securities regulation The Latest on Proxy Access Posted by Holly J. [read post]
26 Apr 2021, 3:19 am
Gutnick “engage[d] in or perform[ed] any act or omission which, in the reasonable judgment of the Managers, [was] in bad faith and . . . detrimental to the interests of the Company, its Members or its Managers. [read post]
13 Aug 2008, 4:39 pm
DANIS COREY D. [read post]
19 Dec 2018, 3:30 am
Unfortunately, investing through a Reg D offering is risky because investors are usually provided with very little in the way of information. [read post]
