Search for: "D&S Investments, LLC"
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20 Jan 2021, 10:59 am
D. [read post]
16 Jan 2021, 10:57 pm
Part II examines supply chain’s use of letters of intent. [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]
14 Jan 2021, 12:09 pm
Interactive Brokers LLC (money laundering, failure to file SARs) – Brokerage firm Interactive Brokers agreed to pay $23.7 million to the SEC and CFTC, as well as a $15 million penalty to the Financial Industry Regulatory Authority (FINRA), to resolve allegations related to the firm’s anti-money laundering policies. [read post]
14 Jan 2021, 7:25 am
In 2011, Davis-Lynch sold its interest in D-L LLC and realized a gain on the sale of its investment. [read post]
11 Jan 2021, 2:17 pm
Disclosure: Nick Sonnenberg is not associated with Gordian Investments, LLC. [read post]
11 Jan 2021, 3:31 am
On remand from the CAFC, the Board again affirmed a Section 2(d) refusal to register the mark GUILD MORTGAGE COMPANY & Design for “mortgage banking services, namely, origination, acquisition, servicing, securitization and brokerage of mortgage loans” [MORTGAGE COMPANY disclaimed] in view of the registered mark GUILD INVESTMENT MANAGEMENT for “Investment advisory services” [INVESTMENT MANAGEMENT disclaimed]. [read post]
10 Jan 2021, 5:39 am
Editor’s Note: Given the challenge of monitoring and tracking merger, acquisition, and investment activity for eDiscovery-related companies, from time to time the quarterly and annual reporting of the number of events may change slightly as new information becomes available concerning these events. [read post]
5 Jan 2021, 10:06 pm
325(d) Framework – Advanced Bionics, LLC v. [read post]
4 Jan 2021, 9:21 am
However, Yotpo’s “concessions” may reflect Yotpo’s lack of investment in the issue). [read post]
1 Jan 2021, 6:14 am
Editor’s Note: Since beginning in November 2001 to track the number of publicly highlighted merger, acquisition, and investment (M&A+I) events in the eDiscovery ecosystem, ComplexDiscovery has recorded 453* M&A+I events. [read post]
30 Dec 2020, 7:55 am
But if we were to be honest, we’d all admit the overall experience left us feeling a bit shortchanged. [read post]
17 Dec 2020, 7:53 am
FINRA Reportedly Investigates Former D. [read post]
16 Dec 2020, 9:49 am
Also exempt from the bill's requirements are investment companies, investment advisers, broker-dealers, registered exchanges and clearing agencies, and registered entities under the Commodity Exchange Act. [read post]
16 Dec 2020, 3:00 am
Tan Phu Cuong Investment, LLC et al. v. [read post]
13 Dec 2020, 3:25 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC… [read post]
11 Dec 2020, 6:01 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, December 11, 2020 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of December 4–10, 2020. [read post]
9 Dec 2020, 11:04 am
Vega, d/b/a Professional Interpreters of Erie v. [read post]
6 Dec 2020, 8:15 am
Supp. 2d 196 (D. [read post]
30 Nov 2020, 7:25 am
In cases of selling away the investor is unaware that the advisor’s investments are improper. [read post]
