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1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
1 Nov 2022, 2:05 pm
Timothy Higgins Has Been a Registered Broker Since 1993 Timothy Higgins was reportedly most recently employed as a broker with Spartan Capital Securities, LLC, located in Garden City, New York, from 2015 to 2020. [read post]
21 Aug 2023, 3:13 pm
A few variations recommend that (1) Taxpayer transfer up to a 90% interest in a limited liability company (LLC) (or another type of business entity) owned by Taxpayer to the trust; (2) the Taxpayer will cause the LLC to sell certain assets (including intellectual property (IP)) to the trust; and (3) Taxpayer will cause the LLC to lease back those assets and IP from the trust for a payment that is approximately equal to 70% of the monthly income of the LLC. [read post]
5 Oct 2022, 8:34 am
GWG Recovery Options Emerson Equity LLC was the managing broker-dealer for these bonds. [read post]
19 Jul 2023, 11:32 am
Examples of Limited Partnership Investments Some examples of limited partnerships include real estate partnerships, oil and gas partnerships, private equity funds, and hedge funds. [read post]
29 Jul 2016, 6:03 am
Schwarcz, Duke University School of Law, on Monday, July 25, 2016 Tags: Agency costs, Business judgment rule, Capital markets, D&O insurance, Director liability, Financial crisis, Financial regulation, Incentives, Management, Moral hazard, Public interest, Risk committee, Risk oversight, Risk-taking, SIFIs,Systemic risk Delaware Court on LLC Managers’ Authority to Delegate Posted by David A. [read post]
11 Jul 2007, 5:49 am
Are LLCs not used in these start-up situations? [read post]
17 May 2010, 7:08 am
The Facts Plaintiff Maric Capital Master Fund, Ltd. [read post]
11 Dec 2023, 1:18 pm
That means a Virginia corporation, LLC, or LP is a Reporting Company under the CTA, but a Virginia general partnership is not. [read post]
7 Mar 2011, 12:17 pm
In 2004, in connection with the settlement of a class action, Ameriprise Financial Services paid $100 million to 2.4 million customers (or approximately $41 to each customer) based upon claims against Ameriprise relating to the sale of proprietary or self-space funds, undisclosed kick-backs from certain funds, and the provision of andquot;cannedandquot; investment in pushing its own funds, which were among the poorest performing mutual funds on the market. [read post]
10 Apr 2023, 11:49 am
Arete Complaints involving GPB Capital In February 2021, Arete Wealth Management lost a $515,000 arbitration claim for losses involving high-risk private placements managed by GPB Capital Holdings. [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
12 Feb 2021, 5:57 am
McDermott, Skadden, Arps, Slate, Meagher & Flom LLP, on Tuesday, February 9, 2021 Tags: Bankruptcy, Corporate debt, COVID-19, Credit supply, Distressed companies, Restructurings ESG: The S Is Not for Short Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Tuesday, February 9, 2021 Tags: Capital markets, Derivatives, ESG, GameStop, Hedge funds, Market reaction, Retail… [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
1 Apr 2011, 10:57 am
Basic Capital then sued, arguing that it had suffered financial injury by Dynex’s refusal to fund the loan commitments. [read post]
12 Sep 2011, 7:28 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
3 Jan 2012, 6:15 am
Nomura Asset Capital Corporation (“Nomura”) loaned $50 million to HPCH (the “Nomura Loan”). [read post]
28 Jun 2012, 9:42 am
Market capital is the sale price for a share of stock multiplied by the number of shares outstanding. [read post]
10 Mar 2018, 12:00 am
For more information, visit Medina Law Group or Private Client Capital Group. [read post]
8 Apr 2022, 2:05 am
Regulatory Affairs, Managed Funds Association (Washington, DC) Corporate Counsel, LS Power (Saint Louis, MO) Sr. [read post]
