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10 Nov 2017, 10:51 pm
Woodbridge also raises money using investment offerings through entities such as Woodbridge Mortgage Investment Fund III, LLC. [read post]
10 Jul 2014, 2:45 pm
For Angie Lienert, president and CEO of IntelliGenesis LLC, 2013 was a wake-up call. [read post]
5 Jan 2024, 7:03 am
The SEC has filed a complaint against property developer Rishi Kapoor, his companies Location Ventures, LLC (LV), URBIN, LLC (URBIN) and multiple subsidiaries in relation to a $93 million fraud. [read post]
20 Feb 2013, 3:16 pm
Post Capital Partners LLC has announced it has recapitalized Invo HealthCare Associates, Inc. [read post]
HFP Capital Markets’ Employees Sanctioned Over Metals Millings and Mining Private Placement Offering
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
2 Jun 2021, 11:30 am
NYPPEX, LLC’s CCO Michael Schunk allowed Mr. [read post]
6 Oct 2020, 11:15 am
Finally, it was revealed on Sept. 24 that the practice management company Rocket Matter had been acquired by the private equity firm Lightyear Capital LLC, which will make it part of a new company, ProfitSolv, that also includes another recently acquired companies, TimeSolv, a provider of cloud-based legal billing and timekeeping software. [read post]
2 May 2013, 10:00 am
The Forum was a great event for compliance professionals at private funds. [read post]
6 Jan 2022, 9:56 am
Domtar Paper Company LLC. [read post]
18 May 2020, 3:50 am
Dean Weidner also maintains a private practice as a mediator and arbitrator with the Florida law firm Upchurch Watson White & Max. [read post]
15 Aug 2012, 5:39 am
Spring Break ’83 Productions LLC. [read post]
9 Apr 2019, 3:00 am
A DOJ Press Release describes a private benefit violation: The Department of Justice today announced that three pharmaceutical companies – Jazz Pharmaceuticals plc (Jazz), Lundbeck LLC (Lundbeck), and Alexion Pharmaceuticals Inc. [read post]
19 Oct 2020, 4:19 am
Common-law dissolution, which predates BCL 1104-a, is an equitable cause of action which permits shareholders below the 20% ownership threshold to seek dissolution of a private corporation under certain circumstances of malfeasance. [read post]
9 Feb 2017, 9:48 am
According to Bloomberg, Vanguard Stimulation Services LLC provides gas and oil field services. [read post]
22 Jun 2012, 5:00 am
The end of a recent Ninth Circuit opinion, Pom Wonderful LLC v. [read post]
9 Oct 2015, 10:37 am
MSC-BD LLC and Paul J. [read post]
30 Nov 2020, 7:25 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Nicholas Palumbo (Palumbo) has been accused by his former employer, Park Avenue Securities LLC (Park Avenue), of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
20 Jun 2019, 6:53 am
A new (and perhaps final) chapter was added to the tale of ITT Educational Services, Inc. last week with the CFPB’s announcement that it had settled the lawsuit it filed against Student CU Connect CUSO, LLC (CU Connect), a special purpose entity company set up to fund, purchase, manage, and hold private student loans (CU Connect Loans) made to students enrolled in an ITT school. [read post]
26 May 2011, 1:56 pm
S & L Orlando, LLC believed to be yet another private placement sold by Virchow Krause to investors. [read post]
22 Oct 2020, 5:07 am
Former broker Lonna Ristvedt, former Investment Company and Variable Contracts Product Representative from Fargo, North Dakota, allegedly engaged in undisclosed and unapproved private securities transactions by soliciting investors to purchase investments through a Ponzi scheme known as Future Income Payments, LLC. [read post]
