Search for: "Capital Closing Services, LLC"
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30 Nov 2023, 4:50 am
The justices are evidently taking a close look. [read post]
29 Nov 2023, 10:40 am
For more information about our services, please visit www.riggsdavie.com or contact the author by email at mwilson@riggsdavie.com. [read post]
13 Nov 2023, 1:01 pm
FINRA Rule 2020 Example In October of 2014, The Securities and Exchange Commission (SEC) took action against a high-frequency trading firm, Athena Capital Research, for manipulating the closing prices of numerous NASDAQ-listed stocks during a six-month period in 2009. [read post]
9 Nov 2023, 9:01 pm
My favorite memory of Scott is crossing paths on the way to or from getting lunch in Union Station, where Scott was often accompanied by his close friends and co-workers Tom Sporkin, Greg Faragasso, and John Polise. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
1 Nov 2023, 10:57 am
Many of the allegations are in connection with unsuitable alternative investment recommendations, such as GPB Capital offerings. [read post]
20 Oct 2023, 2:40 pm
October 20, 2023 Clients, Friends, and Associates: As we end the third quarter and enter the fall season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]
18 Oct 2023, 3:02 pm
July started off with two reported deals as companies looked to strategically combine forces or attract new capital. [read post]
9 Oct 2023, 2:34 pm
., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
5 Oct 2023, 2:38 pm
New York and 335-7 LLC v. [read post]
5 Oct 2023, 7:26 am
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
3 Oct 2023, 9:01 pm
To settle the action, the Company agreed to pay an $18 million penalty in the event it closes a merger transaction. [read post]
2 Oct 2023, 4:22 am
If, upon joining the LLC, for example, a member hasn’t agreed ex ante to give others the power to increase their obligation to contribute capital or to dilute their tax allocations and distribution rights, you wouldn’t expect them to suffer, without their consent, the adverse consequences of such amendments that go to the heart of their membership interest. [read post]
30 Aug 2023, 5:45 am
Consider Opportunity Zone Funds to defer capital gains taxes until 2026. [read post]
29 Aug 2023, 2:25 am
Employees moving away from close work partnerships to more tenuous project team acquaintances.Jonathan Westover of Human Capital Innovations adds: “Some signs that managers should be alert to include a decrease in productivity, missed deadlines, absenteeism, lack of enthusiasm, and negative attitude. [read post]
5 Jul 2023, 12:52 pm
The firm is a full-service broker dealer with close to 565 registered representatives who operate from 69 branch offices. [read post]
30 Jun 2023, 12:04 pm
Pooling resources for a single service. [read post]
26 Jun 2023, 3:48 pm
Back in those days, the Lawfare team closely followed Prigozhin’s adventures. [read post]
26 Jun 2023, 7:03 am
A&E Television Networks, LLC v. [read post]
14 Jun 2023, 7:05 am
In response to a petition filed by Capital One Services, LLC, the FCC wishes to also clarify that the confirmation text message may include a request for clarification as to the scope of the communication(s) that the recipient wishes to no longer receive. [read post]
