Search for: "Capital Accounts LLC"
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10 Apr 2023, 3:31 pm
His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. [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]
8 Apr 2023, 8:50 am
He was also prompted to review and accept a “Self-Directed Custodial Account Agreement” for an entity known as Prime Trust, LLC that had no reference to collection of any biometric data. [read post]
7 Apr 2023, 8:48 am
World Trade Center Properties, LLC, No. 01 Civ. 9291, at *1 (HB) (S.D.N.Y. [read post]
7 Apr 2023, 6:30 am
Posted by Ira Kay, Mike Kesner, and Ed Sim, Pay Governance LLC, on Tuesday, April 4, 2023 Tags: Disclosure, Dodd-Frank Act, Pay for performance, Proxy season, PVP Disclosure, SEC enforcement Gender and the Social Structure of Exclusion in U.S. [read post]
7 Apr 2023, 6:30 am
Posted by Ira Kay, Mike Kesner, and Ed Sim, Pay Governance LLC, on Tuesday, April 4, 2023 Tags: Disclosure, Dodd-Frank Act, Pay for performance, Proxy season, PVP Disclosure, SEC enforcement Gender and the Social Structure of Exclusion in U.S. [read post]
5 Apr 2023, 2:05 pm
SEC Sanctions Packerland Brokerage Services In 2017, the SEC reportedly settled charges against Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. [read post]
5 Apr 2023, 12:36 pm
According to his FINRA broker profile, Davis was affiliated with the following firms, among others, during his securities career: 10/18/2022 – 03/07/2023, ALEXANDER CAPITAL, L.P. [read post]
4 Apr 2023, 5:59 pm
If you are forming a foreign-capital invested company the process, also, requires the transfer of capitalization from a foreign account to a Korean account and registration of the capital remittance. [read post]
30 Mar 2023, 10:04 am
Lindberg was then “living out of the accounts” that borrowed the money and then signed forgiveness on $125 million of the borrowed funds. [read post]
30 Mar 2023, 6:52 am
Specifically, FSC Securities, Royal Alliance, SagePoint Financial and Woodbury Financial allegedly negligently failed to communicate to investors that in an offering that GPB Capital Holdings, LLC failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
29 Mar 2023, 11:34 am
His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC (CRD#:142485) of Melville, NY. [read post]
27 Mar 2023, 9:01 pm
For the second year in a row, the “Electronic Technology and Technology Services” and “Health Technology and Services” sectors accounted for more than 50% of all filings. [read post]
22 Mar 2023, 12:52 pm
If you have, say a million dollars in an account, only 250 is insured. [read post]
17 Mar 2023, 3:33 pm
The FDIC initiates a Structured Transaction by forming an investment vehicle (typically an LLC) into which it contributes assets from one or more failed institutions in return for the equity interest in the LLC. [read post]
9 Mar 2023, 2:16 pm
Caz Craffy (CRD# 5222223, a/k/a Carz Levinski Craffey) is a former broker last employed with Monmouth Capital Management LLC (CRD#:290248) of Point Pleasant Beach, NJ. [read post]
9 Mar 2023, 12:55 pm
VCPM was formed by Victory Park Capital Advisors, LLC (Victory Park). [read post]
8 Mar 2023, 7:58 am
How to decide between an LLC or an S-Corp Becoming an LLC or an S-Corp isn’t necessarily an either-or decision. [read post]
8 Mar 2023, 7:58 am
How to decide between an LLC or an S-Corp Becoming an LLC or an S-Corp isn’t necessarily an either-or decision. [read post]
6 Mar 2023, 4:07 am
The ousted shareholder (or LLC member) is left high and dry financially, with no income from a company he or she still owns and, if it’s a pass-through entity, having to go out of pocket to pay personal income taxes on any phantom income reported on their K-1s. [read post]
