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5 Jul 2017, 1:31 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in November 2016, Thomas Oliphint (Oliphint) was discharged and terminated by LPL Financial LLC (LPL) over allegations that Oliphint violated firm policy regarding outside business activities. [read post]
8 Mar 2022, 6:56 am
The post Attorney Jake Zamansky Comments on Wells Fargo’s Appeal of Fraud Ruling in Financial-Planning.com appeared first on Zamansky LLC. [read post]
13 Nov 2023, 4:07 am
A nationwide avalanche of LLC legislation followed, with New York enacting its LLC Law in 1994 with minimal legislative history and a last-minute deletion of the bill’s article authorizing derivative actions. [read post]
1 Oct 2012, 2:00 am
In New York, the 1545 Ocean Avenue case was the first major, appellate pronouncement that judges considering petitions to dissolve LLCs may not rely on the dissolution standards under the business corporation laws and, following the Delaware Chancery Court’s lead, that the inquiry in LLC dissolution cases is a contract-based analysis that centers on management’s ability to achieve the LLC’s stated purpose and its financial feasibility in… [read post]
8 Sep 2023, 12:51 pm
Ameriprise Financial Services Allegedly Overcharges Retirement Customers Ameriprise Failure to Supervise Rep’s Conversion of Funds September 2016 – FINRA fined Ameriprise Financial Services, Inc. $850,000 for its failure to detect and prevent the conversion of over $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
14 Oct 2020, 5:55 am
The post SEC Spotlights COVID-19 Scams in Its Tips for World Investor Week 2020 appeared first on Zamansky LLC. [read post]
13 Nov 2011, 1:13 pm
Arrow Financial Services, LLC v. [read post]
20 Jun 2022, 4:41 am
” Among other critiques, recognizing that the most common claims for manager misconduct lend themselves to characterization as derivative rather than direct, Dean Weidner targets what he characterizes as the 2006 Revised Uniform LLC Act’s ill-advised departure from the partnership precepts of its 1996 progenitor by its importation of the direct-derivative dichotomy and provision for LLC managers to appoint Special Litigation Committees (SLCs) “to… [read post]
5 May 2020, 12:08 pm
Silver Law Group is investigating Cetera Advisors, LLC and its registered representative David Rockwell. [read post]
10 May 2022, 4:15 am
’s Motion to Dismiss a complaint brought by AuthWallet, LLC against it for failure to state a claim. [read post]
5 Nov 2010, 11:20 am
The Securities and Exchange Commission (SEC) has charged Brewer Investment Group, LLC (a registered investment adviser), Brewer Financial Services, LLC (a registered broker-dealer), Brewer Investment Advisors, LLC (the parent company) and its top executives with the sale of $5.6 million fraudulent and unregistered promissory notes to 74 of its investors. [read post]
12 Oct 2021, 8:04 am
According to Henley’s BrokerCheck Report published by the Financial Industry Regulatory Authority (FINRA), the defendant brokerage arm of the firm (Henley & Company LLC) apparently failed to disclose the existence of its10 Beatty Road satellite office to FINRA. [read post]
15 Jul 2014, 4:28 pm
The Nevada LLC may be treated as “doing business” in California simply by reason of its ownership of a membership interest in the Delaware operating LLC, resulting in the Nevada LLC’s own California tax filing obligations. [read post]
15 Jul 2014, 4:29 pm
The Nevada LLC may be treated as “doing business” in California simply by reason of its ownership of a membership interest in the Delaware operating LLC, resulting in the Nevada LLC’s own California tax filing obligations. [read post]
14 Nov 2020, 7:28 am
Roisman and do not necessarily reflect those of the Securities and Exchange Commission or its staff. [read post]
2 Feb 2021, 1:38 pm
An LLC, on the other hand, should document ownership in its Operating Agreement. [read post]
14 Apr 2012, 9:51 am
Apr. 12, 2012) in which it considered whether a property owner is financially responsible for the unpaid water bills of its tenants. [read post]
Investor Alert: Law Firm Iorio Altamirano LLP Investigates the Sale of L Bonds by Emerson Equity LLC
29 Jan 2022, 4:06 am
New York securities arbitration law firm Iorio Altamirano LLP is investigating potential securities arbitration claims against Emerson Equity LLC and its network of broker-dealers for their sale of L Bonds issued by GWG Holdings, Inc. [read post]
20 Jul 2023, 10:45 am
This broker dealer review focuses on publicly available information concerning SagePoint Financial, its securities sales practices, and its regulatory history with FINRA, which serves as the self-regulatory body overseeing brokers and brokerage firms. [read post]
28 Oct 2011, 5:52 am
LPL Financial LLC expects to lose 100 bank brokers this quarter due to the continuing integration of Uvest Financial Services Group Inc., its broker-dealer that specializes in serving financial advisers that work with financial institutions. [read post]
