Search for: "Custom Estates, LLC"
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25 Jun 2015, 1:17 pm
She specializes in EB-5 immigrant investment offerings and hotel and real estate transactions made by Chinese investors in the U.S. [read post]
24 Jun 2015, 6:13 am
Estate of Greenfield, 859 P.2d 1101 (Oklahoma Supreme Court 1993); Oklahoma Statutes title 15, § 153.Walker v. [read post]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to monitor and report trades and deliver… [read post]
31 May 2015, 4:29 pm
Parexel Int’l LLC, in which it concluded that the “definitively and specifically” requirement was “inapposite” in the SOX context and that it also presented a potential conflict with the express statutory authority of Section 1514A. [read post]
29 May 2015, 6:58 am
It’s only customer was a non-profit company operated by the decedent’s son. [read post]
26 May 2015, 11:32 am
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
6 May 2015, 8:50 am
This principle was recently confirmed by the Bankruptcy Court for the Southern District of Texas in In re CTLI, LLC (Bankr. [read post]
27 Apr 2015, 6:29 am
Some of the claims appear to involve Romero’s handling of customer accounts and recommendations in the LaeRoc Income Fund, a troubled real estate private placement. [read post]
21 Apr 2015, 1:40 pm
The CFPB also has authority to take action against institutions violating the Real Estate Settlement Procedures Act, the Fair Credit Reporting Act, and the Fair Debt Collections Practices Act. [read post]
17 Apr 2015, 5:42 am
In re: CTLI, LLC, supra. [read post]
15 Apr 2015, 7:06 am
FINRA found that from approximately May 2009, through November 2012, Schmidt borrowed approximately $2.25 million from seven customers of LPL Financial LLC (LPL) and also engaged in outside business activities without notifying the firm. [read post]
8 Apr 2015, 12:10 pm
Alcede should draw from the estate, Mr. [read post]
6 Apr 2015, 6:23 pm
The Solicitation asked for approval to boost the limit PNotes, LLC could invest customer funds from ten-percent (10%), to fifty-percent (50%). [read post]
3 Apr 2015, 6:42 am
Baccam has also been subject to at least five customer complaints. [read post]
1 Apr 2015, 1:22 pm
In 2011, he promised a Connecticut real estate company that he would secure a $20 million loan in return for a $200,000 upfront fee and other payments. [read post]
1 Apr 2015, 10:52 am
Immigration and Customs Enforcement’s (ICE) Homeland Security Investigations (HSI). [read post]
30 Mar 2015, 8:41 am
Resultly LLC, 2015 WL 1187500 (E.D. [read post]
17 Mar 2015, 10:36 am
Ownership issues arise as part of an infringement claim, but also come up in trusts and estates, mergers and acquisitions, taxation, and bankruptcy. [read post]
11 Mar 2015, 7:00 am
According to the SEC, Home Path Financial LP is a real estate investment company incorporated in Wisconsin. [read post]
9 Mar 2015, 9:42 am
According to allegations in the indictment, Gettel and Lozano started their loan modification business in July 2009 and set up CC Brown Law LLC. [read post]
