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13 Jun 2024, 11:21 am
From August 2016 to October 2023, she was reportedly associated with Pruco Securities, LLC (CRD No. 5685) as a General Securities Representative. [read post]
20 May 2008, 12:08 pm
Local and regional bar associations and buying organizations sometimes offer health care plans for small businesses, including law firms. [read post]
8 Apr 2014, 7:06 pm
“You know the difference,” he said, “between the company trying to make a business and some fake LLC, where their whole business model is figuring out how much people will have to spend in court. [read post]
20 Jul 2023, 5:45 am
The office will also work with the Cannabis Community Repair and Reinvestment Fund and the Cannabis Business Assistance Fund. [read post]
18 May 2022, 6:39 am
The first claim from 2020 was settled for a total of $125,000, with allegations that Cohen requested the client use the Liquidity Access line to loan funds for outside business activities. [read post]
4 Jun 2019, 10:24 am
According to the DI Wire, FS/KKR Advisor LLC, a partnership between FS Investments and KKR Credit Advisors LLC, are planning to merge four non-traded business development companies under its advisement. [read post]
23 Jan 2024, 6:22 am
Fulmer is an associate in Buckingham’s Taxation Practice Group. [read post]
29 May 2014, 2:56 pm
When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away. [read post]
4 Aug 2020, 1:21 pm
Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees. [read post]
27 Nov 2011, 12:18 pm
LPL Financial LLC has been fined $100,000 for failing to supervise Jack Kleck, a broker who sold unsuitably risky investments to clients in their 80s, the Oregon Department of Consumer and Business Services announced on Nov. 22. [read post]
19 Sep 2015, 7:56 pm
The credit shelter trust was funded with $675,000 from the UBS Paine Webber accounts. [read post]
24 Oct 2011, 4:26 pm
Williams, Carroll Community Investments, LLC Moderated by Professor Lisa LeSage, Associate Dean and Director of the Business Law Programs and Executive Director, Small Business Legal Clinic The program was held at Lewis & Clark Law School in Portland, Oregon on October 12, 2011. [read post]
12 Nov 2010, 2:00 pm
(Valued at $225)Long Beach Island Vacation Getaway,provided by Vic D'Ammora (Valued at $1000-$1700)Wine of the Month Club - Membership for One Year,provided by USClaims (Valued at $550)Kindle 3G Wireless Reading Device and $25 Amazon Gift Card, provided by CMCM, LLC (Valued at $214)Mariano Rivera Autographed Framed Collage, provided by 5 Star Legal Funding, LLC (Valued at $425)Larry Bird Signed Basketball,provided by 5 Star Legal Funding, LLC (Valued… [read post]
24 Apr 2012, 2:31 pm
RadLAX Gateway Hotel, LLC v. [read post]
24 Feb 2014, 5:44 am
Global Fleet Sales, LLC v. [read post]
14 Apr 2023, 8:42 am
This helps to ensure that the firm and its associated persons conduct business in an ethical and compliant manner, reducing the risk of harm to investors. [read post]
16 Apr 2024, 1:32 pm
FINRA Rule 2150 prohibits any member or person associated with a member from making improper use of a customer’s securities or funds. [read post]
17 Feb 2016, 10:11 am
Persons who are proven subject matter experts in business who have understanding and demonstrated high-level (management) understanding and experience managing business operations and/or the financial or marketing initiatives associated with growing businesses are preferred. [read post]
30 Nov 2011, 11:03 am
There were about a dozen people present at the Eton Park gathering, including the hedge fund’s founder Eric Mindich, at least five former Goldman Sachs Group Inc. alumni, Lone Pine Capital LLC founder Stephen Mandel, Och-Ziff Capital Management Group LLC’s Daniel Och, TPG-Axon Capital Management LP’s Dinakar Singh, Kynikos Associates Ltd. [read post]
2 Jun 2014, 2:33 pm
BANKUNITED, Appellee. 3rd District.Attorneys -- Discipline -- Dishonest conduct -- Failure to return client funds or to communicate with client -- Referee's findings of fact, regarding attorney's failure to provide former client with accounting of retainer funds despite repeated requests over three years and failure to return any of the funds until client finally filed complaint with Florida Bar, and regarding attorney's forging a signature on legal papers… [read post]
