Search for: "D&S Investments, LLC"
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31 Jan 2024, 10:20 am
Trademark Office issued the following 159 trademark registrations to persons and businesses in Indiana in December 2023 based on applications filed by Indiana trademark attorneys: Registration Number Wordmark 7243847 COACH SHARON 7256270 AMBRE BLENDS ALPHA 7256110 HOOSIERS FOR GOOD 7256111 H HOOSIERS FOR GOOD 7249674 THE HOT ROOM NOW 7249852 BEXA360 7250904 BAM 7250905 BAM SHEET 7252674 CHIP MONKEYS INC. 7241101 BONUSBOX 7237423 DEALER$ ANONYMOU$ 7252488 DAVID EDWARD… [read post]
26 Jan 2024, 1:40 pm
As a result, VFA violated NASD Rule 3010, FINRA Rules 2330(c), (d), and (e), and FINRA Rule 2010. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
10 Jan 2024, 9:01 pm
NAC Found., LLC, 512 F. [read post]
8 Jan 2024, 12:34 pm
The securities attorneys at The White Law Group, D. [read post]
8 Jan 2024, 7:00 am
LS3, LLC v. [read post]
2 Jan 2024, 11:26 am
Like other investments, options can be traded through brokerage accounts. [read post]
2 Jan 2024, 10:01 am
LPL Financial LLC , 91 Cal. [read post]
27 Dec 2023, 2:02 pm
He allegedly misled investors about the profits they’d make through two entities, Phoenix and Edger Management. [read post]
17 Dec 2023, 9:03 pm
As Gurbir Grewal, the Director of the SEC’s Division of Enforcement, has said, “You simply can’t ignore the rules because you don’t like them or because you’d prefer different ones: the consequences for the investing public are far too great. [read post]
13 Dec 2023, 2:58 am
Defendant STG Drayage, LLC, now operates the 238 Wilson Avenue facility. [read post]
11 Dec 2023, 9:05 pm
Less well-known but of greater societal significance is Delaware equity’s contribution to matters of social justice. [read post]
11 Dec 2023, 1:18 pm
This feature is often used to protect the owner’s privacy or for strategic reasons. [read post]
3 Dec 2023, 4:26 am
Attracting business investment—whether in the form of a bank loan or an investor acquiring an ownership stake—may require a more formal business structure (i.e., a corporation or LLC). [read post]
1 Dec 2023, 10:00 am
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
1 Dec 2023, 9:17 am
Congress’s recognition that some investments should be exempt from registration gave rise to Regulation D and its accredited investor definition. [read post]
1 Dec 2023, 8:06 am
Scott Matalon (Scott Jay Matalon CRD# 4637378) is a former registered broker and investment advisor whose last known employer was RBC Capital Markets, LLC (CRD# 31194) of Jericho, NY. [read post]
1 Dec 2023, 4:00 am
Chapter 537 of 2014 effected this change by adding subdivisions (c) and (d) to Section 609. [read post]
28 Nov 2023, 1:52 pm
After purportedly setting up a Limited Liability Company called “SCNT LLC” he allegedly transferred his client’s money into a bank account under the fraudulent business’s name. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor… [read post]
