Search for: "BUSINESS FUNDING ASSOCIATES, LLC"
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4 Oct 2022, 1:28 pm
NYPPEX, LLC, et al., (Disc. [read post]
3 Oct 2022, 8:10 am
While most states set this number at $15 million, some states require additional funds; for example, New York’s capital and surplus standard is $48 million, which would apply to a DSLI writing business in the state even if the DSLI is domiciled in a state with a lower capital and surplus threshold. [read post]
24 Sep 2022, 8:03 am
., LLC v. [read post]
22 Sep 2022, 8:06 am
The rule gives requirements for a firm to have reasonably designed written supervisory procedures (WSPs) to supervise the activities of its associated persons and the types of businesses in which it engages. [read post]
22 Sep 2022, 6:06 am
., failed to tell his ex-client, Law Funder LLC, he had a business relationship with a judge presiding over a case the company joined because of its litigation investments, the firm alleged in a lawsuit. [read post]
20 Sep 2022, 9:22 am
Despite this uncertainty, the judge flatly asserted: “The plaintiff trade associations represent all the Platforms covered by HB 20. [read post]
16 Sep 2022, 2:10 pm
Start-Up Budget A new firm should always include a start-up budget in its business plan and the sources of funding that support this budget. [read post]
16 Sep 2022, 10:39 am
The fund has purportedly failed to pay millions in distributions according to a recent article in Investment News. [read post]
14 Sep 2022, 5:26 am
The trouble with Business Development Companies (BDCs) such as FS Global Credit Opportunities Fund, is that they are complex and inherently risky products. [read post]
12 Sep 2022, 12:23 pm
Since a margin account involves trading with borrowed funds, there are special risks associated with margin that must be explained to a customer at the outset. [read post]
9 Sep 2022, 8:12 am
Advisor Roderick Whited, Northwestern Mutual, Allegedly Misappropriated Funds The Certified Financial Planner Board of Standards, Inc. [read post]
8 Sep 2022, 10:31 am
It concluded that a business league’s activity of providing pension and health benefits of its members does not further IRC 501(c)(6) business league purposes. [read post]
6 Sep 2022, 12:07 pm
Simultaneously, Martinsen was registered with AXA Advisors, LLC in New York until September 1999, when he was reportedly discharged for involvement “in outside business activities which he had previously been advised to cease and desist. [read post]
6 Sep 2022, 12:07 pm
Simultaneously, Martinsen was registered with AXA Advisors, LLC in New York until September 1999, when he was reportedly discharged for involvement “in outside business activities which he had previously been advised to cease and desist. [read post]
6 Sep 2022, 12:07 pm
Simultaneously, Martinsen was registered with AXA Advisors, LLC in New York until September 1999, when he was reportedly discharged for involvement “in outside business activities which he had previously been advised to cease and desist. [read post]
29 Aug 2022, 6:58 pm
We recently wrote about how family businesses can provide value and income but selling your 20% stake in Family Partners, LLC is not easy when the only other investors are your parents and your siblings. [read post]
28 Aug 2022, 8:09 am
If you have been a victim of Reed’s alleged misconduct our firm may be able to assist you in recovering funds. [read post]
17 Aug 2022, 9:30 am
Between June 2019 and October 2019, while associated with Ameriprise Financial Services, LLC, Daniel Minich allegedly participated in three private securities transactions totaling approximately $200,000 reportedly without providing prior written notice to Ameriprise. [read post]
15 Aug 2022, 3:48 am
First, in response to plaintiffs’ argument that their status as the only other members of the LLC obviated the requirement that a claim of misappropriation of funds owed to the LLC be brought derivatively, the court answered simply that “[a]ny injury is to [the LLC], and any damages must be recovered by [the LLC],” citing as authority the Court of Appeals’ 1989 opinion in Glenn v Hoteltron Systems, Inc. [read post]
14 Aug 2022, 8:22 am
FAST Sponsor LLC is FAST’s SPAC sponsor. [read post]
