Search for: "D&S Investments, LLC"
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22 May 2020, 8:19 am
LLC, May 20, 2020, per curiam). [read post]
20 May 2020, 11:58 am
Cannacord Genuity LLC was the bookrunning manager for the offering and B. [read post]
19 May 2020, 6:49 am
Basically, the way this scam worked, according to the SEC, is TCA would enter into a contract with a company to perform investment banking services for, let’s say, $100,000. [read post]
16 May 2020, 12:46 pm
Aug. 17, 2018), aff’d Almond v. [read post]
15 May 2020, 7:59 am
TOMMY YOWELL, GAIL YOWELL, HARRY GRAFF, EL TERICO, LLC AND CASUARINA INVESTMENTS, LLC (D/B/A LAR RESOURCES, LLC) v. [read post]
14 May 2020, 7:28 am
According to LaBelle’s publicly disclosed records the he has several disclosed outside business activities including Berkshire Retirement Strategies (his d/b/a for LPL Financial), Brickhouse Mountain LLC (owner of office building), and Private Advisory Group (an RIA d/b/a). [read post]
13 May 2020, 8:24 am
Publicly-available Form D and Form D amendments filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
12 May 2020, 6:12 am
Second, the broker then must match the investment as being appropriate for the customer’s specific investment needs and objectives such as the client’s retirement status, long or short term goals, age, disability, income needs, or any other relevant factor. [read post]
12 May 2020, 3:07 am
According to D. [read post]
4 May 2020, 4:26 pm
Granting the owner a monopoly for a limited period of time serves to provide a return on the investment and replenishes the R&D pipeline for future breakthroughs. [read post]
3 May 2020, 12:33 pm
Since December 2013 Touloukian has been registered with Pauolson Investment LLC of the firm’s New York, New York office location. [read post]
1 May 2020, 8:22 am
If you have suffered losses investing with Lee D. [read post]
1 May 2020, 4:18 am
May 20, 2020 - 2 PM: Hidden Ridge Vineyard, LLC, Serial No. 87868652[Section 2(d) refusal of IMMORTAL & Design in view of the registered mark THE IMMORTAL ZIN [ZIN disclaimed], both for wine.May 21, 2020 - 1 PM: In re Maryhill AB, Serial No. 88102714 [Section 2(d) refusal of the mark shown below for various baked goods, including bread, in view of the registered mark BREAD FOR EVERYONE for bread. [read post]
29 Apr 2020, 6:03 am
Hager’s second response matched. [read post]
17 Apr 2020, 7:55 am
From July 2018 through December 2019 Labelle was registered with LPL Financial LLC. [read post]
17 Apr 2020, 5:48 am
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
14 Apr 2020, 10:04 am
According to SEC filings, the company filed a Form D to raise capital from investors for the offering of the SQN Special Opportunity Fund LLC. [read post]
14 Apr 2020, 7:55 am
Recommendations should be in line with the investor’s age, risk tolerance, net worth, and investment experience. [read post]
13 Apr 2020, 4:19 pm
Notably, the increase in frequency of Exchange Act securities class actions since 2018 has coincided with the end of the longest running bull market in U.S. history.[12][13] As a result, more fervent shareholder recovery efforts can be expected as the fiduciary duties of institutional investment managers are tested and global investors in the U.S. capital markets seek nontraditional equity investment returns. [read post]
13 Apr 2020, 8:23 am
Tweed’s failure to disclose was material because it likely would have been viewed, if disclosed, as something that could influence his decision to invest his investment fund’s money in the new master fund. [read post]
