Search for: "Bar Works Capital, LLC"
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26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
21 Feb 2024, 4:00 am
World Champ Tech LLC v. [read post]
7 Feb 2024, 7:12 am
DATA. 7291623 SUPREME WELL PET VET 7291636 SUPREME GROOM VAN 7280620 TIERRA GARDEN 7267847 HAMMEL PSYCHOLOGICAL SERVICES, LLC 7290226 PLASTIC PIPE TECHNOLOGIES 7289994 HIGH VELOCITY ENGINEERING TRANSFER 7294532 DARK ARENAS 7274012 OWNERS WORKING WITH OWNERS, FAMILIES AND DISCRIMINATING INSTITUTIONS 7264569 NATIONAL EXPEDITED TRANSIT 7271536 PRIME SALT 7268577 FIND FREEDOM IN RECOVERY. 7284187 NEW MILLENNIUM 7262578 + 7257819 THOUGHTFUL. [read post]
4 Feb 2024, 3:17 pm
Indeterminate Membership Interests Can Work, But Only With the Right Operating Agreement I said it before, and I’ll say it again. [read post]
1 Feb 2024, 1:34 pm
While a bar from the securities industry can be a powerful piece of evidence for investors pursuing FINRA arbitration claims against their advisors and/or their brokerage firms, investors should work with experienced securities and investment fraud attorneys to help maximize their recovery. [read post]
1 Feb 2024, 11:55 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
31 Jan 2024, 9:01 pm
”[23] This violated Supreme Court precedent because “utilizing a back-end price drop as a proxy for [a] front end misrepresentation’s price impact works only if, at the front end, the misrepresentation is propping up the price. [read post]
22 Jan 2024, 3:32 am
A practice pointer: We often encounter LLC operating agreements that authorize the majority to make capital calls, then provide that when a member fails to meet a capital call, the ownership interests will be reshuffled in proportion to the members’ capital accounts. [read post]
19 Jan 2024, 7:37 am
(CRD#:18456), Wauwatosa, WI, B, 06/12/2014 – 12/23/2019, QUEST CAPITAL STRATEGIES, INC. [read post]
5 Jan 2024, 1:41 pm
John Goodwin LPL Financial LLC MML Investors Servies, LLC Jane Terry Raymond James Financial Services, Inc. [read post]
5 Jan 2024, 10:01 am
Worden Capital Management LLC Michael Fasciglione Aegis Capital Corp. [read post]
27 Dec 2023, 6:09 pm
Independent Financial Group LLC Overview The White Law Group reviews the regulatory history of Independent Financial Group LLC. [read post]
27 Dec 2023, 11:21 am
Morgan Securities LLC Chase Investment Services Corp Merrill Richardson Goldman Sachs & Co, LLC William Blair & Company LLC Michael Solomon Maxim Group LLC HFP Capital Markets LLC Steven Thompson Network 1 Financial Securities Inc. [read post]
27 Dec 2023, 8:45 am
Kevin Springstead Craft Capital Management LLC Arive Capital Markets Terry Tzagarakis Arive Capital Markets Worden Capital Management LLC Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
29 Nov 2023, 8:59 am
FINRA Bars Keith Curtis after Allegations of Conversion of Funds According to public records, on November 16, 2023, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Keith Curtis (CRD#: 4798755) from associating with any FINRA member at any time. [read post]
28 Nov 2023, 10:19 am
Properties LLC). [read post]
16 Nov 2023, 9:04 am
Our attorneys work on a contingency fee basis. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
13 Nov 2023, 4:07 am
, 74 NYS Bar Assoc. [read post]
