Search for: "Corporate Funding & Investments LLC"
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12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
12 Sep 2017, 5:11 am
LLC. [read post]
30 Mar 2012, 3:48 pm
Subsidiary Ceres Managed Futures LLC, the funds’ manager, had placed assets with outside trading advisers. [read post]
27 Jan 2010, 3:52 am
How Patrick Byrne tried to conceal his control Deep Capture LLC On April 17, 2008, investigative journalist, bestselling author, and blogger Gary Weiss reported that Deep Capture LLC is controlled by High Plains Investments LLC which is 100% owned by Patrick Byrne and owned 23.5% of the Overstock.com's common shares (See Proxy Report). [read post]
15 Aug 2022, 3:48 am
First, in response to plaintiffs’ argument that their status as the only other members of the LLC obviated the requirement that a claim of misappropriation of funds owed to the LLC be brought derivatively, the court answered simply that “[a]ny injury is to [the LLC], and any damages must be recovered by [the LLC],” citing as authority the Court of Appeals’ 1989 opinion in Glenn v Hoteltron Systems, Inc. [read post]
20 May 2019, 6:11 am
Robert Lee Basile (CRD#: 2392772, aka “Bob Basile”) is a former registered broker and investment advisor who was last employed with PARK AVENUE SECURITIES LLC (CRD#:46173) of Corona, CA. [read post]
4 Jan 2016, 3:42 am
January 12, 2016 - 11 AM: In re Brookwood Funding, LLC, Serial No. 86162901 [Section 2(d) refusal of the mark BROOKWOOD LOANS for "Consumer lending services in the form of online, lump-sum, unsecured loans of $5,000 or less to individual consumers, specifically excluding investment banking services and other services to corporate clients" [LOANS disclaimed], in view of the registered mark BROOKWOOD ASSOCIATES for "Investment… [read post]
8 May 2020, 7:33 am
Prior to joining FSC Securities Corporation, Fox was registered with Morgan Stanley and Janney Montgomery Scott LLC. [read post]
17 May 2012, 8:23 pm
See The Dunbar Group, LLC v. [read post]
13 Oct 2008, 10:22 pm
Page Perry's attorneys are actively involved in representing institutional and individual investors with investment problems. [read post]
9 Apr 2011, 1:07 pm
Plaintiffs alleged Defendant took money from the partnerships and LLCs and invested the money with Kay Investment through Kay Management. [read post]
17 Feb 2017, 1:28 pm
The manager of each EB-5 investment fund is the primary party responsible for monitoring the EB-5 fund’s investment in the EB-5 project. [read post]
13 Aug 2018, 10:25 am
Additionally, the clients indicated that the accounts were not held in their name; at the time, they were in a brokerage account by Pershing LLC. [read post]
28 Jan 2021, 6:09 pm
Hunt Strategic Utility Investment, L.L.C., No. 68, 2020 (Del. [read post]
21 Sep 2012, 10:26 am
Madoff Investment Securities LLC (BLMIS). [read post]
2 Jan 2012, 2:31 pm
This Delaware Supreme Court decision determined that creditors of an insolvent LLC are not given standing by the Delaware LLC Act to pursue derivative claims unlike the analogous situation in the corporate context. [read post]
4 Sep 2012, 10:21 am
The FCC is holding an LLC’s owner personally accountable for a proposed $1.7 million fine because of his company's alleged misconduct. [read post]
10 Jul 2008, 2:20 am
After all, non-profits comprise a significant part of the economy and they offer fruitful comparisons to traditional corporations, just as LLCs and partnerships do. [read post]
13 Jan 2011, 8:00 am
” In addition, Petitioners contend that JCM as an investment adviser is not the equivalent of a corporate insider. [read post]
10 Aug 2010, 12:16 pm
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
