Search for: "D&A Equities, LLC"
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19 Jul 2017, 2:44 am
Matthew Andresen, CEO of Headlands Technologies LLC, focused his remarks on suggested improvements to the municipal bond market. [read post]
8 Aug 2020, 11:42 am
Senior sought to explain away these facts by pointing to an increase in its independent R&D activity. [read post]
14 Dec 2022, 5:12 am
” The SEC’s complaint alleged that Bankman-Fried engaged in a multi-year scheme to defraud equity investors in FTX Trading Ltd. [read post]
6 Sep 2012, 8:59 pm
· B-UT: $121K fee app. denied entirely for failure to disclose retainer, payments received from major creditor/insider. http://bit.ly/yNNT4u · 6-BAP affirms dismissal of ttee's complaint seeking avoidance & recovery of prepet noncompensatory penalty pymts to IRS http://bit.ly/xFnxua · 1-BAP: Silence is implied… [read post]
12 Mar 2012, 4:00 am
Warshawsky: I’d say two factors are at work, and neither one is the water which happens to be quite good. [read post]
3 Apr 2009, 3:49 am
EEO/iNewsSource: iNews Related to Equal Employment Opportunity - © 2009 John D. [read post]
9 Jun 2016, 3:28 pm
Jones Capital Equities Management, Inc., based on charges that the company had failed to establish the required cybersecurity policies and procedures in advance of a breach that compromised the personally identifiable information (PII) of approximately 100,000 individuals, including thousands of the firm’s clients. [read post]
19 May 2014, 10:29 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
17 Jan 2017, 6:11 am
” Case Background In September, 2011, Appellee James Wilson and Decedent Joseph Gorman entered into a contract in which Gorman agreed to purchase a 15% interest in Marine 1, LLC for $300,000, to be paid in a series of payments. [read post]
3 Jul 2013, 2:55 pm
Equity Total Return Swaps and CPO Exemption. [read post]
6 Aug 2021, 11:00 am
Ct.), No. 16-17197 (9th Cir.), No. 12-cv-00536 (D. [read post]
9 Sep 2020, 6:16 am
NATIONAL MEDICAL IMAGING, LLC, et al., Appellants, v. [read post]
13 Apr 2020, 8:23 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRAWells Fargo Advisors, LLC nka Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
20 Apr 2018, 6:01 am
Rosen and William D. [read post]
30 Aug 2019, 5:53 am
Skinner and Amy D. [read post]
7 Dec 2020, 6:16 am
D. [read post]
10 Oct 2010, 1:24 pm
He’d like them to make a “context-specific inquiry” as to “the degree of moral and commercial repugnance of the managerial behavior, the experience and sophistication of the Members, and the financial and strategic significance of the challenged dealings for the overall welfare of the LLC. [read post]
6 Feb 2017, 3:26 am
Occasionally such petitions are summarily resolved in the petitioner’s favor, but here the court, by Manhattan Supreme Court Justice Geoffrey D. [read post]
15 Sep 2017, 7:58 pm
Appeal of Lore Pick, 85-SBE-066; (June 25, 1985), Appeal of George D. [read post]
18 Feb 2022, 6:01 am
Davies, Michael D. [read post]
