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29 Mar 2024, 3:12 pm
—charging them with illegally selling off-exchange binary options under the brands BeeOptions, Glenridge Capital, and Rumelia Capital to U.S. customers. [read post]
19 Mar 2024, 8:28 am
Whether you’re looking to scale your operations, attract key talent, or enter into partnerships, having a solid capital structure in place makes it easier to navigate these transitions and seize new opportunities. [read post]
15 Mar 2024, 4:00 am
State business filings show Efficient Private Protection and Security LLC is owned by Brenda Grisham, who also serves as one of two principal officers for the recall campaign, Save Alameda For Everybody. [read post]
14 Mar 2024, 6:56 am
By Atreya Mathur In a world where creativity knows no bounds and the lines between art, inspiration and infringement blur, one art collective stands at the forefront of pushing these boundaries. [read post]
11 Mar 2024, 7:14 am
FINRA BrokerCheck Report – Jay Pocius According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry: 05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
11 Mar 2024, 5:00 am
” Sources: SEC Charges Connecticut-Based Investment Adviser 3D/L Capital Management, LLC, with Failing to Fully and Fairly Disclose Conflicts of Interest, Orders It to Pay Harmed Clients Order – 3D/L Capital Management, LLC The SEC Continues its Attack on the Word “May” “May” Can Be a Failure to Disclose The One That “May” Pay Commissions “May” May Not Be Adequate Disclosure [read post]
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]
26 Feb 2024, 3:54 am
The complaint otherwise failed to state a cause of action for breach of contract or violation of Judiciary Law § 487 (1) (see generally Second Source Funding, LLC v Yellowstone Capital, LLC, 144 AD3d 445, 445-446 [1st Dept 2016]; Brookwood Cos., Inc. v Alston & Bird LLP, 146 AD3d 662, 669 [1st Dept 2017]; Facebook, Inc. v DLA Piper LLP [US], 134 AD3d 610, 615 [1st Dept 2015], lv denied 28 NY3d 903 [2016]; CPLR 3211 [a] [7]). [read post]
23 Feb 2024, 6:00 am
Paze is an upcoming digital wallet from Early Warning Services LLC. [read post]
21 Feb 2024, 9:06 am
He actually had a negative capital account. [read post]
13 Feb 2024, 8:44 am
This includes corporations, LLCs, and most limited liability partnerships. [read post]
6 Feb 2024, 1:36 pm
Dodd also represents investors, including venture capital funds and other private investors, with their investments in their portfolio companies. [read post]
1 Feb 2024, 6:48 am
Big Thicket Coin, LLC [read post]
31 Jan 2024, 9:01 pm
The ramifications of this decision could be significant, as the SEC often uses its in-house courts to seek monetary penalties, and studies reveal that the SEC wins cases it brings in its in-house courts at a much higher rate than those it tries in federal court.[6] We also should expect plaintiffs to attempt to maneuver in light of the Supreme Court’s decision in Slack Technologies LLC v. [read post]
26 Jan 2024, 8:58 am
Venture capital fund advisers that are subject to the Advisers Act and have made required filings with the SEC. [read post]
25 Jan 2024, 6:06 pm
In contrast, alternative investments, including non-traded business development companies and interval funds, outpaced non-traded REITs, raising over $35 billion in 2023. [read post]
25 Jan 2024, 12:25 pm
The lawsuits reportedly allege that Willy advised clients to invest their retirement funds in risky and unregistered securities issued by Ferrum Capital LLC, a Lubbock-based company. [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]
18 Jan 2024, 8:35 am
But because the news media is failing (accelerated by vulture funds like Alden Capital) and everyone is techlashing, this policy approach has gotten way more consideration than it deserves. [read post]
10 Jan 2024, 6:32 am
CG Oncology, which is backed by ORI Capital, Decheng Capital, Longitude Venture Partners, and others, is developing a treatment for bladder cancer. [read post]
