Search for: "United Capital Management, Inc."
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13 Feb 2013, 11:16 am
In May of 2009, FINRA fined Pacific Cornerstone Capital, Inc (the broker-dealer for Cornerstone Real Estate Funds) $750,000. [read post]
15 Jan 2019, 8:43 pm
Stone Lion Capital Partners, LP v. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers… [read post]
25 Apr 2015, 4:22 am
He held a number of roles at Caesars Entertainment, Inc. [read post]
29 Sep 2019, 5:33 am
Advisor Richard Braverman (Braverman), currently employed by Geneos Wealth Management, Inc. [read post]
22 Sep 2009, 7:01 am
Inc. [read post]
5 Aug 2009, 4:30 pm
According to Lyceum Capital’s Managing Partner Jeremy Hand: "Law firms are businesses. [read post]
11 Jun 2022, 12:47 pm
Some background Until 2008, Lehman Brothers1 was one of the largest investment banks in the United States, with hundreds of billions of dollars in assets under management and more than 25,000 employees in offices worldwide. [read post]
10 Dec 2015, 8:36 am
Sun Dental Holdings, LLC $20,000,000 Class A Common Units Form 1-A filed Sept. 3, 2015; SEC qualification filed Dec, 1, 2015 Tier 2 offering to accredited and non-accredited investors ($10,000 minimum investment) Audited financials Business: traditional dental device manufacturing as well as digital scanning, cloud-based data management system and 3D printing to produce dental devices Use of proceeds: working capital, strategic acquisitions, debt service and… [read post]
13 Oct 2017, 6:44 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, October 13, 2017 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of October 6–12, 2017 2017 Proxy Season Review: Compensation Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Friday, October 6, 2017 Tags: Bonuses, Equity-based compensation, Executive Compensation, Golden… [read post]
26 Aug 2016, 8:36 am
A bi-weekly publication from Consultiva Internacional, Inc. [read post]
28 Apr 2024, 9:05 pm
Weltover, Inc., 112 S. [read post]
26 Mar 2015, 2:59 pm
While a risk-based approach to compliance is encouraged by U.S. regulators, compliance programs require not only thorough implementation, including personnel and management training, but also continuous monitoring and auditing to ensure compliance. [read post]
31 Mar 2020, 1:50 pm
Registered investment advisers manage private funds, and many advisers manage more than one fund. [read post]
10 Dec 2021, 1:54 pm
Lyft, Inc. v. [read post]
18 Nov 2011, 1:22 pm
[#Climate] GET THE REST OF TODAY'S NEWS (click here)Waste Information & Management Services, Inc. [read post]
13 Jul 2016, 1:02 pm
A bi-weekly publication from Consultiva Internacional, Inc. [read post]
24 Mar 2022, 6:17 am
Steadfast Apartment REIT, Inc. [read post]
3 Apr 2020, 6:03 am
Issuers Targeted in Securities Class Action Lawsuits Filed in the United States Posted by David H. [read post]
13 Mar 2015, 8:00 am
Miami, Florida-based lender and financial services company Hencorp Becstone Capital LC (“Hencorp”) has agreed to pay $3.8 million to settle allegations that it violated the False Claims Act in connection with an elaborate scheme to defraud the Export-Import Bank of the United States. [read post]
