Search for: "D&S Investments, LLC"
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21 Oct 2008, 3:40 pm
Blum & Silver's and Sallah & Cox, LLC's attorneys speak English and Spanish, and they are licensed to practice law in Florida, Colorado, New York and New Jersey. [read post]
20 Nov 2007, 11:30 am
Amp’d Mobile: Amp’d Mobile takes the crown for money-burning, with $360 million that ended in bankruptcy. [read post]
14 Feb 2007, 7:35 pm
NASD Rule 2210(d)(2)(c) and related provisions address "Standards for Use of A Member's Name in Advertisements and Sales Literature". [read post]
1 Jul 2010, 9:28 am
the charging order is all D can get out of C’s membership . . . [read post]
1 Dec 2023, 8:06 am
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
23 Mar 2010, 9:10 am
Part of the suitability analysis is determining the proper asset allocation for the investor’s portfolio—for example, making sure that the client’s money is not overly concentrated in a single investment category like high-risk private placements. [read post]
23 Aug 2010, 2:33 pm
Clearly by Ivy’s own disclosures to the SEC, it lacked sufficient experience to provide advice on investment strategies for an organization of the stature of HHMI in the context of HHMI’s overall charitable mission. [read post]
31 Aug 2020, 8:39 am
The company filed a form D to raise capital from 115 investors in 2015, according to filings with the SEC. [read post]
3 Feb 2015, 1:16 pm
Attorney General Kamala D. [read post]
14 Jan 2021, 3:06 pm
In addition, the SEC’s Complaint alleges that Lisser and Knightsbridge Capital Partners: “[D]irected over 20 salespeople . . . to cold-call potential investors and to use high-pressure sales tactics to solicit investments. [read post]
24 Jun 2020, 6:29 am
The men allegedly told their investors that they’d engage in cryptocurrency trading, but reportedly never invested in it. [read post]
24 Jun 2020, 6:29 am
The men allegedly told their investors that they’d engage in cryptocurrency trading, but reportedly never invested in it. [read post]
4 Feb 2019, 2:18 pm
They also believe that Mike Snow would have made about $190K and other benefits in his 401(k) retirement plan if he’d kept on working. [read post]
26 Nov 2006, 6:11 pm
In re Gunn GP LLC, Serial No. 78497204 (October 30, 2006) [not citable].The reader will recall that in Knight Textile Corp. v. [read post]
16 Jan 2012, 3:00 am
Justice Demarest's fuller explanation is worth reading: In 1545 Ocean, the Appellate Court cautioned that "[d]issolution is a drastic remedy", not to be lightly ordered merely based upon disagreement, or even deadlock, among the members of the LLC, but that "where the economic purpose of the limited liability company is not met, dissolution is appropriate"(72 AD3d at 129-131). [read post]
13 Oct 2008, 12:00 pm
Case in point: In re Seneca Investments, LLC, 2008 WL 4329230 (Del. [read post]
30 Sep 2019, 3:27 am
s? [read post]
27 Nov 2013, 3:02 am
Amerinova Properties, LLC, Civil Action No. 3:13-cv-02278-H-NLS (S. [read post]
22 Oct 2009, 7:03 am
UPDATE X1: Both parties have filed a notice of appeal with the Circuit Court. -- Court: Circuit Court of Cook County, Chancery Division Opinion Date: 10/16/09 Cite: Citadel Investment Group, LLC v. [read post]
27 Jun 2012, 9:48 pm
In another case, a preliminary injunction against Hutcheson Walker Advisors LLC and Matthew D. [read post]
