Search for: "Security First Managers, LLC."
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6 Feb 2019, 12:48 pm
Jeffrey Lance Offen (CRD #2893980) is a former registered broker whose last employer was Craft Capital Management LLC (CRD #171350) of Garden City, NY. [read post]
25 Jul 2022, 11:07 am
The post Private Advisor Group LLC settles with SEC for $5.8 Million appeared first on The White Law Group. [read post]
30 Jul 2011, 2:31 am
Brookfield is a global investment advisor focused on specialized equity and fixed income securities investments. [read post]
5 Oct 2011, 3:17 pm
Edwards & Sons, Inc. and its successor firms, Wachovia Securities, LLC and Wells Fargo Advisors, LLC. [read post]
22 Feb 2024, 10:00 am
Additional means of security include trusts or insurance coverage through LLC insurance. [read post]
22 May 2020, 10:21 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 Feb 2024, 10:00 am
Additional means of security include trusts or insurance coverage through LLC insurance. [read post]
16 Jun 2020, 3:19 pm
appeared first on Parks & Jones. [read post]
1 May 2018, 9:14 am
Esposito, the owner and Managing Director of Lionshare Ventures, LLC. [read post]
18 May 2015, 2:18 pm
It may be obvious that interests in member-managed LLCs are less likely to qualify as securities as interests in manager-managed LLCs, but the analysis cannot stop there. [read post]
15 Sep 2017, 6:44 am
The post RBC Wealth Management to Pay $212,000 FINRA Award appeared first on White Securities Law. [read post]
13 Nov 2023, 4:07 am
First, I discussed how tax considerations dictated key elements of the original design and subsequent amendment of New York’s LLC Law. [read post]
3 Jan 2022, 12:02 pm
The post Triad Advisors LLC Sanctioned for Failure to Supervise LJM Fund Sales appeared first on The White Law Group. [read post]
22 Apr 2013, 8:05 am
For securities purposes, the issuances are both securities issuances, requiring satisfaction of securities law filings (including based on a 701 exemption). [read post]
28 Jun 2018, 11:49 am
L.P., Cherokee Investment Partners LLC, Ecosystem Investment Partners LLC, Elm Partners Management LLC, HEP Management Corp., Prescott General Partners LLC, RLJ Equity Partners LLC, Rose Park Advisors LLC, and Veteri Place Corp. [read post]
30 May 2017, 3:03 pm
During the first year, the geologist toils around the clock pursuing acquisitions. [read post]
16 Sep 2017, 8:29 am
According to the SEC, From 2007 to 2016, Murakami and Chiat defrauded more than 50 investors in three hedge funds run through their investment advisory businesses, MC2 Capital Management, LLC and MC2 Canada Capital Management, LLC. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
