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27 Sep 2019, 6:05 am
Fortney with the Fortney & Scott, LLC law firm in Washington, D.C., called the confirmation “terrific” and said he expects to see a “more disciplined” department under Scalia. [read post]
26 Sep 2019, 6:37 pm
The law firm of McNamara Phelan McSteen, LLC understands that people can sometimes make mistakes behind the wheel. [read post]
26 Sep 2019, 12:25 pm
PennEast Pipeline Company, LLC obtained federal approval to construct a pipeline through Pennsylvania and New Jersey. [read post]
25 Sep 2019, 6:30 am
Workers’ Comp Roundup Blog: http://blog.reduceyourworkerscomp.com/ ©2019 Amaxx LLC. [read post]
23 Sep 2019, 6:51 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRACV Brokerage, Inc (CRD #462, Williamstown, New Jersey) July 2, 2019 Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to establish and maintain a supervisory system and failed to establish, maintain and… [read post]
23 Sep 2019, 5:01 am
[An attempt to seal a key document in a libel / breach of contract case filed by a former communication strategist for Julian Assange against a former lawyer for Edward Snowden.] [read post]
23 Sep 2019, 3:32 am
The court’s summary of the governing legal principles characterized involuntary judicial dissolution as “an exceptional level of intervention into the otherwise private agreement of an LLC’s members” which should be unavailable merely to resolve disagreements among owners or relieve an owner of an investment decision later regarded as improvident. [read post]
22 Sep 2019, 11:29 am
At this time it is unclear what OBA Blutstein engaged in that FINRA was investigating and whether or not that activity also involved private securities transactions. [read post]
22 Sep 2019, 10:09 am
The SEC’s complaint charges Smith, Broad Reach Capital, the fund’s general partner Broad Reach Partners, LLC, and the adviser, Bristol Advisors, LLC with violating the anti-fraud provisions of the federal securities laws. [read post]
22 Sep 2019, 3:00 am
Sources: SEC Charges Investment Adviser with Custody Rule and Related ViolationsSEC Order – ED Capital Management, LLC d/b/a Daniloff Capital Management, LLC and Elliot Daniloff Private Fund Manager Completely Shirked His Compliance Obligations [read post]
21 Sep 2019, 2:31 pm
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC (Investee)Knox… [read post]
21 Sep 2019, 1:31 pm
According to BrokerCheck records Ross Sinclaire & Associates, LLC (Ross Sinclaire) has been subject to a regulatory action over, among other things, the firm’s sales practices with respect to several private placement offerings. [read post]
20 Sep 2019, 2:00 am
Bush administration, said he understood the difference between working for his clients in the private sector and having “a public trust,” and noted his previous stint in the DOL also followed work in the private sector. [read post]
19 Sep 2019, 10:25 am
Core Health & Fitness, LLC, 2019 WL 4451698, No. 16-cv-01015 (S.D. [read post]
18 Sep 2019, 9:52 pm
John Reed Stark As discussed in the following guest post from John Reed Stark, a recent development in the class action litigation arising out of the massive Marriott International data breach could have significant ramifications for other claimants asserting class action claims — including securities class action claims — based on data breaches or other cybersecurity incidents. [read post]
18 Sep 2019, 10:16 am
For student loans, the largest private student lender, SoFi, isn't even a bank. [read post]
18 Sep 2019, 9:27 am
Mascho was formerly employed by Dawn Bennett as CEO of her company DJB Holdings LLC and also worked as a financial advisor for Bennett Group Financial Services. [read post]
16 Sep 2019, 6:51 pm
Sources: Definition of Investment CompanyAnalysis of a 3(c)5 Fund Redwood No Action Letter August 15, 2019Great Ajax Funding LLC No action Letter February 12, 2018 [read post]
16 Sep 2019, 9:00 am
In re: PennEast Pipeline Company, LLC, No. 19-1191 (3d Cir. 2019). [read post]
13 Sep 2019, 9:04 pm
CLS Transportation Los Angeles, LLC, the Supreme Court held that PAGA claims cannot be waived in arbitration agreements. [read post]
