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19 Dec 2013, 5:44 am
For instance, one customer had 111% of his stated net worth concentrated in the Empire Debentures and four customers had more than 30% of their stated net worth concentrated in the Empire debentures. [read post]
21 Jun 2013, 6:43 pm
The RJR scientist commented on “patentability,” but the court found that the document primarily concerned scientific research with no connection to the rendering of legal advice. [read post]
14 Nov 2009, 5:00 am
Pirate Investor, LLC, 580 F.3d 233 (4th Cir. 2009), the SEC filed suit against Pirate Investor, LLC ("Pirate"), alleging the publisher made fraudulent misrepresentations violating §10(b) of the 1934 Securities Exchange Act. [read post]
4 Sep 2015, 11:05 am
OHA’s decision in Size Appeal of Olgoonik Solutions, LLC, SBA No. [read post]
11 Nov 2019, 1:32 pm
Please dial-in 15 minutes ahead of time to ensure proper connection. [read post]
13 Mar 2015, 10:39 am
Connect with Eric: Photo credit: Copyright: <a href=’http://www.123rf.com/profile_andrewgenn’> / 123RF Stock Photo</a> [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
18 Jun 2010, 11:00 am
The referral source may not have connected with you. [read post]
19 Nov 2011, 11:42 am
So if a unsophisticated user used LOIC from their home connection, rather than from an open connection at a café, they could easily be arrested. [read post]
1 Nov 2021, 8:59 am
Additionally, brokerage firms are required to ensure that all investment recommendations made are suitable in light of the client’s age, investment experience, investment objectives, net worth, and income. [read post]
25 Jan 2020, 12:08 pm
The requirement to report whether, at the end of the reporting period, whether the organization held restricted net assets, while reporting negative unrestricted net assets? [read post]
4 Aug 2008, 10:21 pm
Keith Elis, a Financial Advisor with Financial Advisor at Wachovia Securities, LLC, and graduate of the University of Connecticut School of Law (1998) said, Without taking a position as to whether online gambling is a net benefit or net cost to society, it seems true that the indiscriminate nature of gambling restriction across the world is hindering the effective implementation of some very interesting, potentially useful ideas related to prediction markets. [read post]
16 Feb 2015, 11:12 am
Levine also seeks an explanation as to why Seven Pines used the 2012 Net Operating Income in determining the cash merger price when it allegedly knew that the 2013 Net Operating Income would be greater. [read post]
5 Mar 2018, 1:23 pm
LLC (CRD® #361, New York, New York) A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured, fined $700,000 and required to submit a certification to FINRA® that its policies, systems, and procedures (including written procedures) and training, in connection with its prime services clearing business, are reasonably designed to achieve compliance with applicable rules in connection with delivery of exchange-traded funds (ETFs)… [read post]
23 Feb 2018, 1:07 pm
Corporate Alternative Minimum Tax and Net Operating Losses The Act repeals the corporate alternative minimum tax (AMT), but puts in place new limitations on net operating losses (NOLs). [read post]
23 Feb 2018, 1:07 pm
Corporate Alternative Minimum Tax and Net Operating Losses The Act repeals the corporate alternative minimum tax (AMT), but puts in place new limitations on net operating losses (NOLs). [read post]
23 Feb 2018, 1:07 pm
Corporate Alternative Minimum Tax and Net Operating Losses The Act repeals the corporate alternative minimum tax (AMT), but puts in place new limitations on net operating losses (NOLs). [read post]
27 May 2011, 5:55 pm
These costs are deducted from the net that the lender receives at settlement. [read post]
31 Dec 2010, 11:50 am
This decision was the latest in a series of decisions from the Delaware judiciary over the past year in connection with the hostile bid by Air Products to acquire Airgas. [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [read post]
