Search for: "Privateer LLC"
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5 May 2010, 8:43 am
More local governments are requiring LEED or equivalent compliance for private projects. [read post]
18 Dec 2006, 11:47 pm
· Private investors who act based on insider information. [read post]
30 Jun 2010, 7:14 pm
Foreside Fund Services, LLC is the distributor of the AdvisorShares ETFs. [read post]
25 Mar 2011, 2:57 pm
Madoff Investment Securities LLC.) [read post]
5 Oct 2015, 2:19 pm
Specifically, the employer’s name on the wage statement was “Spherion Pacific Work, LLC,” instead of Spherion’s legal name, “Spherion Pacific Workforce, LLC. [read post]
18 Oct 2012, 10:03 pm
Schulman In re eBX LLC, SEC, Admin. [read post]
9 Jan 2024, 2:48 pm
Suhre & Associates, LLC – Dayton 130 West Second Street #17-129 Dayton, OH 45402 United States [read post]
2 May 2011, 11:23 pm
Alvin Waino Gebhart Jr., formerly with AFA Financial Group, LLC in Calabasas, California, was barred from association with any FINRA member and Donna Traina Gebhart, formerly with AFA Financial Group, LLC in Calabasas, California, was suspended from association with any FINRA member for one year and fined $15,000 in connection with engaging in private securities transactions without approval of their firm. [read post]
13 Dec 2016, 3:42 pm
Fox echoed the flexibility priority raised by Chou but noted its public perception risks operating as a for-profit LLC as opposed to a nonprofit private foundation. [read post]
31 Jan 2014, 5:20 am
He also highlighted some facts on the new public private-placement rules under 506(c). [read post]
13 Apr 2020, 8:23 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRAWells Fargo Advisors, LLC nka Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
2 Jun 2010, 5:23 pm
. **** June 1 Sponsor: WBR (World Business Research) Event: TradeTech India 2010 Location: Mumbai, India June 1 Sponsor: Infovest 21 Event: Preparing for Impending Regulatory Changes Location: New York, New York June 2 Sponsor: FTF (Financial Technologies Forum, LLC) Event: Understanding Portfolio Management & Trading Location: New York, New York June 2 Sponsor: HedgeWorld Event: CTA 2010: Managed Futures and Commodities Investing presented by HedgeWorld Location: Chicago,… [read post]
12 Jun 2012, 2:00 am
Highlights include SEC examinations for newly registered hedge and private equity funds, JOBS Act, a possible SRO for investment advisers and more. [read post]
15 Apr 2016, 10:46 am
Portal Healthcare Sols., LLC (“Travelers I”), 35 F. [read post]
8 Mar 2022, 12:10 pm
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
8 Mar 2022, 8:10 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
12 Jul 2019, 5:00 am
ALM Media Properties, LLC. [read post]
2 Apr 2013, 9:36 am
Pom Wonderful LLC v. [read post]
2 Sep 2011, 11:23 am
TIP: If the entity involved is an LLC that wishes to make grants of equity interests in the LLC, because LLC equity grants are not treated as incentive stock options (unless the LLC has checked the box to be taxed as a corporation and met the other requirements), you will want to file a notice with the DFI. [read post]
28 May 2024, 12:03 pm
No, corporations are not LLCs. [read post]
