Search for: "Above The Bar Investments, LLC"
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25 Jan 2010, 3:00 am
I recently formed an investment LLC with 100 members and an initial capitalization of $600 million. [read post]
24 Apr 2015, 11:46 am
Parthemer was barred for participating in private securities transactions by recommending that certain of his clients invest in an internet startup company, in violation of FINRA Rule 3040. [read post]
23 Feb 2024, 11:06 am
FINRA, the securities regulator, reportedly barred Gary Chang in December 2022, for the above allegations. [read post]
14 Jun 2012, 2:04 pm
Based on the above, the Order bars Fleishman from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [read post]
14 Jun 2012, 2:04 pm
Based on the above, the Order bars Fleishman from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [read post]
9 Sep 2012, 10:00 pm
MCC and WC made initial investments in a 3:1 ratio of $581,562 and $193,854 resulting in a 75%/25% membership split as reported in their Schedule K-1s included with the LLC’s 1999 and 2000 tax returns. [read post]
30 Aug 2021, 1:11 pm
There, the defendant, an investment capital company, asked plaintiff to audit a company that defendant was looking to invest in, a company named CAR. [read post]
19 Sep 2017, 3:06 pm
If you have questions about investments you made with George Thoreson, The White Law Group may be able to help you. [read post]
24 Jun 2011, 7:55 am
Securities and Exchange Commission (SEC) filed a complaint against Christopher Love Blackwell, AV Bar Reg Inc. and Millers A Game LLC, two entities he controls. [read post]
14 Oct 2013, 3:32 am
The two plaintiff entities collectively invested $7.8 million in return for a 21.8% membership interest, with the remaining 78.2% interest held by an entity abbreviated as KFS which owned some or all of the managed buildings. [read post]
5 Apr 2010, 1:30 am
As I proposed some years ago in a NY State Bar Journal article, the LLC Law should be amended to add a buyout election in dissolution cases comparable to § 1118 of the Business Corporation Law. [read post]
15 Aug 2017, 11:58 am
According to FINRA’s BrokerCheck report, Jay Dee Jordan was registered with WFG Investments, Inc. in Oklahoma City, OK from 09/27/2005 – 04/06/2016 when he was reportedly discharged for the above allegations. [read post]
18 Apr 2017, 4:08 pm
However, in Secure Axcess, LLC v. [read post]
20 Feb 2014, 4:13 am
In an unusual development in a closely watched case, K2 Investment Group, LLC v. [read post]
2 Jun 2010, 10:50 am
For example, long-term cash investments can be protected using preferred stock in a corporation or special provisions for capital accounts in partnerships and LLC’s. [read post]
4 Jan 2024, 12:10 pm
The securities regulator barred her from the industry as of December 13, 2023. [read post]
17 Aug 2020, 4:36 am
” (Apparently, no one advised the court that a 50% shareholder lacks standing to sue for common-law dissolution, as the court ruled in the Office Group case highlighted above.) [read post]
2 Mar 2009, 4:00 am
Fried in a case I've previously written about called Ficus Investments, Inc. v. [read post]
20 Sep 2010, 2:38 pm
The Operating Agreement contained a similar integration clause as described above. [read post]
27 Feb 2017, 5:00 am
(“DIMA”), and RREEF America, LLC (“RREEF”) (collectively, “Defendants”). [read post]
