Search for: "Capital Accounts LLC"
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11 Feb 2013, 9:33 am
Brokerage firms that do not perform adequate due diligence on an investment and/or make unsuitable recommendations can be held accountable for investment losses through securities arbitration. [read post]
9 Dec 2019, 1:05 am
” It also alleged that Respondent “locked out” Petitioner from the business by failing to provide invoices and receipts for WWB expenses and by not allowing Petitioner to conduct bookkeeping and accounting. [read post]
21 Jun 2019, 12:53 pm
Woods is currently employed by Worden Capital Management LLC (Worden Capital) and was formerly registered with Laidlaw & Company (UK) Ltd. [read post]
14 Feb 2009, 8:57 am
Accountants think first of taxes. [read post]
13 Oct 2021, 12:00 am
Cathey, Chief Operations Officer of Accanito Capital Group Dan H. [read post]
13 Oct 2021, 12:00 am
Cathey, Chief Operations Officer of Accanito Capital Group Dan H. [read post]
6 May 2020, 6:29 am
Advisor Rena Morris (Morris), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of her career. [read post]
4 May 2020, 6:39 am
Advisor Stephen Holt (Holt), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of his career. [read post]
28 Oct 2009, 11:25 pm
The NYSE Arca options-trader registrant also allegedly neglected to keep records and books that accurately showed all liabilities, assets, capital accounts, and income expenses. [read post]
16 Mar 2011, 1:48 am
Schedule of Affiliated Debtors, Certification of Resolution, Corporate Ownership Statement, Rule 1007 Declaration of Raymond J.Heslin, Exhibits to 1007 Declaration, Verification of Creditor Matrix and Matrix West End Capital Management, LLC: Voluntary Petition (Chapter 11). [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive… [read post]
18 Jun 2012, 3:00 am
As the Supreme Court found, the petitioner's loan to the LLC did not constitute a capital contribution (see e.g. [read post]
19 Aug 2019, 7:28 am
That Github account was for a user named “Netcrave,” which includes the resume and name of Paige A. [read post]
18 Dec 2009, 6:15 am
Some states restrict professionals such as lawyers, accountants and doctors from forming as LLC's, or have a similar corporate form, the Professional Limited Liability Company (PLLC), for professional practices. [read post]
21 May 2010, 4:37 pm
FINRA had shut down MICG when the firm failed to meet its net capital requirement. [read post]
7 Dec 2022, 8:17 pm
” Similarly for Illinois LLCs, the Illinois Limited Liability Company Act provides that a court may order the entity or the remaining members to purchase the interest of the outgoing member. [read post]
10 Apr 2023, 3:31 pm
His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. [read post]
8 Jul 2012, 10:00 am
This blog is not intended as a legal, accounting or any other kind of advice. [read post]
22 Feb 2022, 1:23 pm
According to FINRA Disciplinary actions for February 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christ Baltas Worden Capital Management LLC Wilmington Capital Securities, LLC Timothy Flynn Trident Partners Ltd. [read post]
13 Dec 2018, 12:04 pm
It is further alleged that the financial advisor that handled the accounts at issue is Steven Knuttila. [read post]
