Search for: "D & D Management and Investement, LLC"
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3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
2 Oct 2023, 8:17 pm
And also, if you don’t mind, just, I’d love to take just a couple of seconds, and maybe piggyback off of what Bree said about what well being means because I think that please do. [read post]
2 Oct 2023, 4:22 am
Such provisions are especially prevalent with smaller, member-managed LLCs as opposed to larger, manager-managed LLCs having some number of passive investors. [read post]
28 Sep 2023, 1:01 pm
The company filed an amended Form D to raise capital from investors in 2021. [read post]
22 Sep 2023, 11:18 am
Additionally, Noard allegedly was an investment adviser for CL Wealth Management LLC, also based in Menomonee Falls, Wisconsin, from 2011 to 2013. [read post]
22 Sep 2023, 11:18 am
Additionally, Noard allegedly was an investment adviser for CL Wealth Management LLC, also based in Menomonee Falls, Wisconsin, from 2011 to 2013. [read post]
22 Sep 2023, 11:18 am
Additionally, Noard allegedly was an investment adviser for CL Wealth Management LLC, also based in Menomonee Falls, Wisconsin, from 2011 to 2013. [read post]
21 Sep 2023, 7:20 am
By Thomas A. [read post]
20 Sep 2023, 9:24 am
Physical analysis requires the investment of time and money and can create insurance concerns if the work must be transported for testing. [read post]
19 Sep 2023, 2:24 pm
Physical analysis requires the investment of time and money and can create insurance concerns if the work must be transported for testing. [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
13 Sep 2023, 11:46 am
”Maya D., attorney “Thank you for always being there 24/7/365. [read post]
12 Sep 2023, 12:18 pm
According to D. [read post]
11 Sep 2023, 6:31 am
The claim alleges that Somerset Securities Inc. unsuitably invested its client in a high-risk private placement investment, iCap Equity, LLC. [read post]
11 Sep 2023, 2:36 am
Specifically, deferred commissions linked to Class T and Class D shares, sold during 2022, were incorrectly categorized as financing cash outflows. [read post]
16 Aug 2023, 10:52 am
[vii] The SEC claimed that Jarkesy, along with his advisory firm Patriot28, LLC, made false representations to their investors, including falsely advising that a prominent accounting firm and investment bank served as the funds’ auditor and broker, respectively, and misrepresenting the funds’ investment strategies and overvaluing the funds’ holdings. [read post]
16 Aug 2023, 8:31 am
Reg D Private Placements: Investing in companies through private placements, such as Reg D offerings, can be illiquid. [read post]
4 Aug 2023, 10:18 am
The franchise, CLB Investments LLC, was fined $56,106 for the violations. ( INSURANCE JOURNAL ) —Compiled by SNCJ Managing Editor KOREY CLARK Please visit our webpage to connect with a State Net representative and learn how the State Net legislative and regulatory tracking solution can help you identify, track, analyze and report on relevant legislative and regulatory developments. [read post]
28 Jul 2023, 1:02 pm
Woods of Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC was allegedly running an extensive ponzi scheme. [read post]
21 Jul 2023, 11:56 am
Section 1962(d). [read post]
