Search for: "D&S Investments, LLC"
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21 Jul 2010, 6:46 am
Law Lessons from WESTWOOD INVESTMENT CO., LLC. [read post]
15 May 2010, 9:45 am
The investments were known as the “Baldwin deals” and the Baldwin deals had a very unique feature. [read post]
21 Jan 2012, 11:54 am
Citigroup Global Markets sold them through MAT Finance LLC. [read post]
13 Nov 2018, 12:03 pm
In cases of selling away the investor is unaware that the advisor’s investments are improper. [read post]
4 Nov 2013, 5:00 am
And if you have questions on tax and business issues I’d highly recommend Joe Kristan’s Tax Updates Blog for other timely and informative articles. [read post]
10 Jan 2010, 6:31 am
Sec. 1332(d)(1). [read post]
26 May 2019, 5:44 am
In cases of selling away the investor is unaware that the advisor’s investments are improper. [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]
2 Jan 2013, 6:00 am
In my ongoing quest to find the line between what’s a security and what’s not, I spent a few minutes looking at the decision. [read post]
2 Jan 2013, 6:00 am
In my ongoing quest to find the line between what’s a security and what’s not, I spent a few minutes looking at the decision. [read post]
19 May 2020, 6:49 am
Basically, the way this scam worked, according to the SEC, is TCA would enter into a contract with a company to perform investment banking services for, let’s say, $100,000. [read post]
23 Sep 2013, 7:53 am
Check a new box that was added to Form D. [read post]
9 Dec 2014, 6:18 am
Nonetheless, FINRA alleged that after receiving LSCM’s analysis, LaSalle’s Investment Committee decided, without any further investigation, to permit a broker, on a very limited basis, to recommend the offering to four customers. [read post]
7 Feb 2011, 12:42 pm
According to a Feb. 4 story by Investment News, Steve Wild, QA3’s owner and CEO, delivered the news via an email approximately one hour after the market closed. [read post]
3 Jul 2019, 2:23 pm
Stoltmann Law Offices is aware that this investment was sold by brokerage firm Uhlmann Price Securities, LLC. [read post]
16 Apr 2012, 6:26 am
It is being reported that well-known financial advisor, Matthew D. [read post]
20 Jun 2014, 8:09 am
For more information on FINRA’s findings, visit http://seekingalpha.com/instablog/1047207-d-daxton-white/3001373-securities-fraud-investigation-involving-james-robert-glover-and-colonial-funding. [read post]
26 Sep 2015, 10:22 pm
.; the Bloomingburg Jewish Education Center; Learning Tree Properties, LLC; Malka Rosenbaum; Sheindel Stein; Winterton Properties, LLC; and Commercial Corner, LLC (collectively the “Plaintiffs”) alleged that defendants are working together to prevent Hasidic Jews from moving into the vicinity of Bloomingburg, New York, a small village in Sullivan County with a population of about 400. [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]
30 Mar 2010, 12:01 am
Here's an excerpt: The Hammer is Coming Down on Private Placement (Reg D) Offering ScamsPrivate placement offerings (also known as Reg D offerings), such as Medical Capital Holdings Inc. and Provident Royalties LLC, have devastated unsuspecting investors. . . . [read post]
