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5 Oct 2017, 5:20 pm
Upon closing of the securitization transaction the First Marblehead Corp. would then skim off more than 8% as its “structural advisory fee”.This was possible because the Trusts formed by FMC through the Funding LLC as depositor sold securities far in excess of the value of the pooled loans to be acquired with the proceeds. [read post]
2 Oct 2017, 4:50 pm
Along those lines, the Supreme Court has held that the SEC’s anti-fraud provisions prohibit all fraudulent schemes in connection with the purchase or sale of securities, whether the artifices employed involve a garden type variety of fraud, or present a unique form of deception. [read post]
25 Sep 2017, 3:32 pm
Nicolet Rest. of De Pere, LLC, 843 F.3d 724, 727 (7th Cir. 2016); Spokeo, 136 S. [read post]
22 Sep 2017, 6:40 am
Excell Brands, LLC, No. 15-CV-7029, 2017 WL 4155402 (S.D.N.Y. [read post]
17 Sep 2017, 7:30 pm
Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
21 Aug 2017, 1:30 pm
Additionally, Diaz purportedly falsified or caused the falsification of the liquid net worth, net worth, and/or income information for at least nine customers to make it appear that they were eligible to invest in the products described in the preceding paragraph when they in fact were not. [read post]
25 Jul 2017, 8:24 am
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
6 Jul 2017, 1:10 pm
In addition, SIC Advisors LLC, Sierra’s investment adviser, will pay the dealer manager a 1 percent annual distribution and stockholder servicing fee without reimbursement by the company. [read post]
4 Jul 2017, 4:32 am
Copyright © 2007-2017 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
28 Jun 2017, 3:11 pm
Westinghouse Electric Company LLC, No. 573, 2016 (Supr. [read post]
28 Jun 2017, 2:02 pm
DMP earned a net total of $13.2 million from Party of Regions. [read post]
16 May 2017, 3:00 am
I don’t recommend jumping into a new venture without some type of financial safety net. [read post]
15 May 2017, 6:49 am
., LLC, No. [read post]
16 Mar 2017, 8:57 am
In connection with the financing of the loan, the REIT paid its advisor, New York City Advisors LLC, a $1.1 million financing coordination fee. [read post]
6 Feb 2017, 10:41 am
” For its part, the Wireline Competition Bureau reconsidered earlier orders and revoked the Lifeline Broadband Provider designation for nine entities — Spot On Networks LLC, Boomerang Wireless LLC, KonaTel Inc., STS Media, Inc., Applied Research Designs, Inc., Kajeet Inc., Liberty Cablevision of Puerto Rico, LLC, Northland Cable Television, Inc., and Wabash Independent Networks, Inc. [read post]
4 Jan 2017, 3:55 pm
California Minimum Net Worth Requirement and Financial Reports. [read post]
5 Dec 2016, 3:40 pm
In connection with the impacted regional agencies’ history and expressed willingne [read post]
13 Nov 2016, 2:30 pm
According to print media accounts, 17 of the 34 homebuyers filed a statement of claim on September 30, 2016 commencing an arbitration proceeding against Pacific Housing, Inc., 2500 R Group LLC, and Pach Sustainable, LLC for falsely advertising that the houses were net zero energy and LEED certified. [read post]
18 Oct 2016, 9:14 am
LeadClick Media, LLC, 2016 U.S. [read post]
1 Sep 2016, 7:56 am
Without admitting or denying the findings, Braymen consented to the sanction and to the entry of findings that she failed to appear and provide FINRA with on-the-record testimony during an investigation into possible net capital violations by her member firm and the potential submission of a falsified document to FINRA in connection with the investigation. [read post]
