Search for: "D & D Management and Investement, LLC" Results 21 - 40 of 1,158
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26 Jan 2024, 1:40 pm by The White Law Group
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
16 Jan 2024, 1:19 pm by Kevin LaCroix
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
2 Jan 2024, 11:26 am by The White Law Group
This strategy becomes a convenient tool in equity allocation management. [read post]
27 Dec 2023, 2:02 pm by The White Law Group
He allegedly misled investors about the profits they’d make through two entities, Phoenix and Edger Management. [read post]
11 Dec 2023, 9:05 pm by renholding
Striving to better, oft we mar what’s well — William Shakespeare, King Lear (1606) The Delaware Court of Chancery has, for more than a century, honed unparalleled expertise in a unique body of corporate law based on equity – and is thus adaptable enough to address injustice. [read post]
1 Dec 2023, 10:00 am by Rubric Legal LLC
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
14 Nov 2023, 9:01 pm by renholding
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]
9 Nov 2023, 9:01 pm by renholding
In August 2022, the Commission filed a case against Crown Bridge Partners, LLC (“Crown Bridge”) and its two members, who were brothers, alleging that they “engaged in the buying and selling large volumes of penny stocks for their own account. [read post]
8 Nov 2023, 5:46 am by The White Law Group
  “Investors often suffer losses due to unsuitable investment recommendations by their brokers and don’t realize they have recovery options,” said D. [read post]
6 Nov 2023, 1:55 pm by The White Law Group
     The claim further alleges that Ages Financial Services LTD unsuitably invested its clients in high-risk alternative investments, iCap Equity, LLC and GWG L bonds. [read post]
6 Nov 2023, 4:16 am by Peter J. Sluka
  You’ve done nothing wrong, and you’d like to continue as a shareholder rather than have your investment liquidated. [read post]
24 Oct 2023, 9:01 pm by renholding
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
20 Oct 2023, 2:40 pm by CFM Admin
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
20 Oct 2023, 8:33 am by Mary Anne Peck
Gavin Newsom (D) signed legislation ( AB 39 ) requiring “digital financial assets businesses” to be licensed by the state. [read post]
13 Oct 2023, 2:21 am by Jack Sharman
Jack Sharman | Lightfoot, Franklin & White LLC How do you describe your practice? [read post]
3 Oct 2023, 9:01 pm by renholding
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]