Search for: "D&A Equities, LLC"
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7 Aug 2019, 6:30 pm
The SEC charged Commonwealth Equity Services, LLC (d/b/a Commonwealth Financial Network), a registered investment adviser and broker-dealer, with failing to disclose material conflicts of interest related to revenue sharing Commonwealth received for certain client investments. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
2 Aug 2019, 6:33 am
Colosimo, Fried, Frank, Harris, Shriver & Jacobson LLP, on Thursday, August 1, 2019 Tags: Contracts, Corporate forms, Delaware cases, Delaware law, LLCs, Merger litigation, Mergers & acquisitions Symmetry in Pay for Luck Posted by Naveen D. [read post]
1 Aug 2019, 11:54 am
Cyan is slowly clouding the value of old- fashioned sweat equity. [read post]
31 Jul 2019, 2:52 am
August 6, 2019 - 11 AM: In re PCS Petroleum LLC, Serial No. 87728983 [Section 2(d) refusal to register the mark KP QUIK STOP & Deign for retail convenience stores, in view of the registered mark KWIK STOP for "Retail convenience store services featuring gasoline, other petroleum products and alcoholic beverages"].August 7, 2019 - 10 AM: Park Hotel Management Pte Ltd. v. [read post]
24 Jul 2019, 3:00 am
Although there have been a boatload of Reg D token offerings, this is the first one that’s cleared SEC review. [read post]
5 Jul 2019, 6:05 am
Griffith (Fordham University), on Monday, July 1, 2019 Tags: Adverse selection, Agency costs, Insurance, Mergers & acquisitions, Moral hazard, Private equity, R&W insurance, Risk management How Boards Govern Disruptive Technology—Key Findings from a Director Survey Posted by Steve Klemash and Jennifer Lee, EY Center for Board Matters, and Kris Pederson, EY, on Monday, July 1, 2019 … [read post]
3 Jul 2019, 2:23 pm
Stoltmann Law Offices is aware that this investment was sold by brokerage firm Uhlmann Price Securities, LLC. [read post]
3 Jul 2019, 10:00 am
You’d be at the lawyer’s office. [read post]
26 Jun 2019, 1:50 pm
TDC-15-1356, 2019 WL 2569574 (D. [read post]
23 Jun 2019, 7:34 am
(Investors)$1,800,000 12-Jul-17Esquify (Investment)Network Ventures, Foley Ventures, and Bridge Investments (Investors)$710,000 21-Jun-17KNJ (Merger)Congruity360 (Merger) 17-May-17Altep, Inc.Advanced Discovery 17-May-17Discovia (Merger)Lighthouse eDiscovery (Merger) 16-May-17Zapproved (Investment)Vista Equity Partners (Investor) 2-May-17Morae Legal (Merger) New Entity Called Morae Global CorporationClutch Group (Merger) 26 - Apr - 17Ipro (Investment)ParkerGale Capital (Investor)… [read post]
18 Jun 2019, 6:42 am
In KT4 Partners LLC v. [read post]
12 Jun 2019, 9:02 am
Supp. 3d 985 (D. [read post]
11 Jun 2019, 5:12 am
The panel of experts included Ben Daverman, Managing Director, GTCR, LLC, Brad Hively, Principal/Operating Partner, RLH Equity, Barrett Polan, Investment Analysis, Hayfin Capital Management LLP, and Phil Smith, Managing Director, Duff & Phelps. [read post]
9 Jun 2019, 11:56 am
According to SEC filings, MAD Oregon LLC filed a Form D to raise capital from investors in 2015. [read post]
3 Jun 2019, 3:27 am
But you’d be wrong. [read post]
30 May 2019, 6:25 am
Experts included Scott Brown, Vice President at The Edgewater Funds, David Campbell, Managing Director at Getzler Henrich, & Associates, LLC, Eric D. [read post]
24 May 2019, 9:41 am
In this report, the following items will be discussed about the transactions of an IT Staffing & Consulting firm: (a) historical transactions, (b) major buyers and buyer trends, (c) valuations and multiples, and (d) notable deals. [read post]
24 May 2019, 6:01 am
Posted by Ira Kay and Blaine Martin, Pay Governance LLC, on Saturday, May 18, 2019 Tags: Executive Compensation, Firm performance, Incentives, Management, Pay for performance, Repurchases, Shareholder value, Short-termism A “Draft Review” as a Safeguard on Proxy Advisors Posted by Ted Allen and Gary A. [read post]
21 May 2019, 2:00 pm
He also is the general partner of Winfield Capital GP LLC, Winfield Capital Partners’ investment manager. [read post]
