Search for: "Investors Prime Fund LLC"
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16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
5 Mar 2018, 1:23 pm
LLC (CRD® #361, New York, New York) A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured, fined $700,000 and required to submit a certification to FINRA® that its policies, systems, and procedures (including written procedures) and training, in connection with its prime services clearing business, are reasonably designed to achieve compliance with applicable rules in connection with delivery of exchange-traded funds (ETFs)… [read post]
29 Jan 2018, 11:28 pm
National Student Marketing Corporation Stanley Sporkin began his crusade for gatekeeper liability over 40 years ago, way back in 1977, during the prime of his SEC enforcement director tenure, in an SEC enforcement action against the National Student Marketing Corporation (NSMC). [read post]
18 Jan 2018, 9:17 am
Real estate investors are using the Series LLC to set up, for example, ten properties in ten protected series instead of having ten LLCs. [read post]
12 Dec 2017, 4:36 pm
According to the SEC’s order, before any tokens were delivered to investors, Munchee refunded investor proceeds after the SEC intervened. [read post]
16 Aug 2017, 6:04 am
Yoo falsely claimed that the fund had purchased 500,000 shares of an entity called Prime Pacific Bank in December 2012 when in reality, the fund did not own this security. [read post]
16 Aug 2017, 6:04 am
Yoo falsely claimed that the fund had purchased 500,000 shares of an entity called Prime Pacific Bank in December 2012 when in reality, the fund did not own this security. [read post]
13 Apr 2017, 5:00 am
© 2017 Vandenack Weaver LLC For more information, Contact Us [read post]
28 Mar 2017, 7:00 am
Domestic hedge funds are typically organized as Delaware limited partnerships with the fund manager as the general partner (usually an LLC) and the investors as the limited partners. [read post]
7 Mar 2017, 4:28 pm
Reprinted with permission from the March 6, 2017 edition of The National Law Journal © 2017 ALM Media Properties, LLC. [read post]
10 Apr 2016, 9:08 am
The accounts and funds are certainly out there, perhaps just not at Mossack. [read post]
10 Dec 2015, 8:36 am
Sun Dental Holdings, LLC $20,000,000 Class A Common Units Form 1-A filed Sept. 3, 2015; SEC qualification filed Dec, 1, 2015 Tier 2 offering to accredited and non-accredited investors ($10,000 minimum investment) Audited financials Business: traditional dental device manufacturing as well as digital scanning, cloud-based data management system and 3D printing to produce dental devices Use of proceeds: working capital, strategic acquisitions, debt service and acquisition of a… [read post]
6 Aug 2015, 6:21 pm
How are emergency items identified and funded? [read post]
2 Apr 2015, 1:35 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
5 Jan 2015, 8:47 am
The real facts here involved two different sound recordings of a Swatch company conference call where company executives discussed year-end financial figures with a few hundred investors and analysts. [read post]
3 Dec 2014, 3:33 pm
Disqualification would also have a significant adverse impact on the firms, their affiliates, sponsored and third party funds, issuers of private placements, customers and clients, according to the requesting letter.Relief granted. [read post]
26 Aug 2014, 1:48 pm
” Another avenue of funding is coming from private equity firms. [read post]
1 Aug 2014, 7:34 am
Frank Anastasio) of Worldwide Funding III Limited, LLC solicited funds from about 45 U.S. and international investors which amounted to over $3.5 million dollars. [read post]
1 Aug 2014, 2:34 am
Frank Anastasio) of Worldwide Funding III Limited, LLC solicited funds from about 45 U.S. and international investors which amounted to over $3.5 million dollars. [read post]
1 Aug 2014, 2:34 am
Frank Anastasio) of Worldwide Funding III Limited, LLC solicited funds from about 45 U.S. and international investors which amounted to over $3.5 million dollars. [read post]
