Search for: "National Capital Management, LLC"
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18 Dec 2018, 11:03 am
Morgan Securities LLC Virginia Nichols LPL Financial LLC Merrill Lynch, Pierce, Fenner & Smith Inc Michael Nickoli AXA Advisors, LLC NML Investors, LLC Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Issac Onu NY Life Securities LLC Wells Fargo Advisors, LLC Michael Resciniti Spartan… [read post]
11 May 2023, 12:36 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
9 Sep 2016, 6:25 am
Finally, since June 2015 McCabe has been associated with Worden Capital Management LLC out of the firm’s Garden City, New York office location. [read post]
22 Feb 2020, 3:00 am
Regards, Bart Mallon & Michael Fitzsimmons Aspect Advisors LLC Aspect Advisors LLC is a modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
20 Jun 2023, 8:17 am
(CRD#:37), DENVER, CO, B, 03/04/2020 – 10/08/2020, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC B, 01/02/2015 – 05/02/2018, CAPITAL ONE INVESTING, LLC (CRD#:45744), Houston, TX B, 05/13/2014 – 01/02/2015, CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658), BEAUMONT, TX Failure to Supervise All broker-dealers have a responsibility to adequately supervise its… [read post]
31 Dec 2008, 1:58 am
" Plaintiff alleges that Ferguson was hired in 2005 as the national sales manager and worked closely with Marshall "regarding customer acquisition, pricing, promotion, new product development and target market selection. [read post]
14 Dec 2010, 3:42 pm
Amended Chapter 11 Plan for Tribune Company and Its Subsidiaries Proposed by King Street Acquisition Company, L.L.C., King Street Capital, L.P. and Marathon Asset Management, L.P. [read post]
14 Dec 2010, 3:42 pm
Amended Chapter 11 Plan for Tribune Company and Its Subsidiaries Proposed by King Street Acquisition Company, L.L.C., King Street Capital, L.P. and Marathon Asset Management, L.P. [read post]
19 Mar 2024, 11:42 am
If either Sponsor or Capital Partner has an affiliated management company that will operate the hotel, that entity will likely need to file a BOIR as well. [read post]
22 Sep 2021, 8:26 am
The combined company, which will remain externally managed by Barings LLC, is expected to have approximately $2.2 billion of investments on a pro forma basis. [read post]
13 Nov 2019, 6:24 am
She recommends to shift regulation from the time of offer to the time of sale, and that there should be no prohibitions on general solicitation anywhere in the exempt offering framework.As to the accredited investor definition, Hanks recommends:Keep the existing financial qualification, but index it to inflation from now on;Add accreditation by means of a securities specific educational qualification, such as holding CFA designation or certain FINRA licenses;Add accreditation by reference to a… [read post]
5 Dec 2011, 9:50 am
Schoenthal, Managing Director at Harvest.Senior debt was arranged by GE Capital and Golub Capital and mezzanine debt by Carlyle Mezzanine Partners. [read post]
12 Dec 2017, 9:57 am
Midland Credit Management, Inc. [read post]
2 Dec 2019, 11:29 am
GPB Holdings II LP is a private placement fund sponsored by GPB Capital Holdings, LLC, a New York-based global asset management firm. [read post]
22 Sep 2021, 12:53 pm
Christy McWilliams Jackson National Life Distributors LLC Kevin Nevin Dempsey Lord Smith, LLC Sandlapper Securities, LLC Antoine Rogers J.P. [read post]
20 Feb 2015, 3:11 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
16 Sep 2010, 3:30 am
Bruce is president of Lawyer-Coach LLC , a law practice management coaching and training firm, and author of the Raising the Bar blog. [read post]
8 Jul 2020, 8:36 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
8 Jul 2020, 9:57 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
22 Aug 2023, 9:00 pm
In regard to the Supreme Court’s AMG Capital Management, LLC vs. [read post]
