Search for: "D & D Management and Investement, LLC"
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10 Oct 2018, 12:40 pm
What precisely renders an event material has plagued securities lawyers for years and has been the subject of countless judicial decisions, SEC enforcement actions, law review articles, law firm guidance and the like – but can be effectively summed up as any important development or event that “a reasonable investor would consider important to an investment decision. [read post]
9 Oct 2018, 11:57 pm
Thresholds of Significance Golden Door Properties, LLC v. [read post]
6 Oct 2018, 10:08 am
In addition, Nalesnik owned Integrated Insurance Management LLC. [read post]
4 Oct 2018, 12:37 pm
Actinium Boston Therapeutics 5G Investment, LLC. [read post]
1 Oct 2018, 1:04 pm
With these latest alleged actions, Belsky is accused of violating a 2008 CFTC order prohibiting him and his previous company, Innovative Capital Management LLC, from engaging in any kind of trading in the wake of another alleged over $1M investment fraud. [read post]
30 Sep 2018, 5:16 pm
The SEC’s antifraud provisions are broad and sweeping – and are meant to be flexible to bend and adapt to new or evolving forms of investment fraud and chicanery. [read post]
26 Sep 2018, 8:03 am
LLC, 2016 WL 5024198, at *3 (D. [read post]
25 Sep 2018, 7:36 am
According to Roberts’ public diclsoures the broker was part of number of OBAs including IDLife, Ursus Wealth Management – a d/b/a entity for his LPL Financial business, Ursus and Company – a real estate management and construction company which Roberts claims is not investment related. [read post]
21 Sep 2018, 2:32 pm
As alleged in the Complaint, this practice, referred to in the securities industry as “cherry-picking”, amounts to an impermissible allocation of trades in violation of various securities laws, including Sections 209(d), 209(e)(1), and 214 of the Investment Advisers Act of 1940 (“Advisers Act”). [read post]
17 Sep 2018, 9:46 am
Platinum Management (NY), LLC, the policyholder, Platinum Management, sought insurance coverage for an SEC proceeding and criminal prosecution arising out of its alleged involvement in a Ponzi-like scheme (along with coverage for related entities and officers and owners). [read post]
2 Sep 2018, 9:09 am
One is the cook, the other the maitre’d and the third the business manager. [read post]
31 Aug 2018, 1:52 pm
The plaintiff reported the abuse to management, who did nothing about it. [read post]
28 Aug 2018, 10:00 am
This could create a larger problem than you’d think. [read post]
27 Aug 2018, 3:49 am
The D’Erricos contributed their labors during construction and took on office and business management responsibilities. [read post]
24 Aug 2018, 6:06 am
Yonker (Cornell University), on Thursday, August 23, 2018 Tags: Board composition, Board dynamics, Board performance, Boards of Directors, Diversity, Firm performance, R&D, Risk, Risk-taking Shareholder Activism: Evolving Tactics Posted by Shaun J. [read post]
21 Aug 2018, 9:48 am
Acquiring 49% of an LLC for $20 billion is exempt. [read post]
9 Aug 2018, 2:37 pm
Accordingly, Congress did not invest the member with a right to take notes of other CBAs (Acosta v. [read post]
3 Aug 2018, 6:10 am
Cahn and Joseph Toner, Wilmer Cutler Pickering Hale and Dorr LLP, on Saturday, July 28, 2018 Tags: Dodd-Frank Act, Misconduct, Oversight, SEC, Securities regulation, Whistleblowers Effects of Executive Pay Levels on Say on Pay Posted by Austin Vanbastelaer and Charles Gray, Semler Brossy Consulting Group, LLC, on Saturday, July 28, 2018 Tags: Executive Compensation, Management, Pay for performance, Proxy… [read post]
23 Jul 2018, 8:19 am
By Lorene D. [read post]
20 Jul 2018, 12:52 pm
BrokerCheck shows that Owens operates his business through a d/b/a Premier Financial Resources and Premier Financial Solutions. [read post]
