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6 Sep 2022, 12:07 pm
Simultaneously, Martinsen was registered with AXA Advisors, LLC in New York until September 1999, when he was reportedly discharged for involvement “in outside business activities which he had previously been advised to cease and desist. [read post]
12 Jul 2010, 11:45 am
Duty of Care The Court reasoned: The primary broker-client or broker-buyer relationship here that would come closer to the sort of business relationship alluded to by Adrian's analogy was not between Mesirow and Adrian, but between Mesirow and Fireman's Fund, and perhaps with the other defendants. [read post]
6 Sep 2022, 12:07 pm
Simultaneously, Martinsen was registered with AXA Advisors, LLC in New York until September 1999, when he was reportedly discharged for involvement “in outside business activities which he had previously been advised to cease and desist. [read post]
4 Jun 2018, 7:13 am
During the Relevant Period, Wendel purportedly solicited investors to purchase promissory notes in Woodbridge Mortgage Investment Funds, an alleged real-estate investment fund. [read post]
9 Jun 2023, 12:54 pm
(CRD#:6694), ST PETERSBURG, FL, B, 02/01/2013 – 07/02/2020, PRUCO SECURITIES, LLC. [read post]
27 Aug 2014, 10:43 am
In Walleye, LLC v. [read post]
27 Aug 2014, 10:43 am
In Walleye, LLC v. [read post]
11 Jan 2022, 7:10 am
(Interest/Understanding) Bifurcation of the market between providers that have the ability to insure work (i.e., provide the appropriate insurance coverage) against cyber, geographical, and business risks, and those that do not have the ability to insure work against cyber, geographical, and business risks. [read post]
9 Jun 2021, 2:21 pm
When thinking about the impact of the top marginal rate, it is important to keep in mind that sole proprietorships, partnerships, LLCs, and other pass-through businesses pay taxes under the state’s individual income tax system, so the state’s high top marginal rate of 7.65 percent is burdensome to many Wisconsin businesses, especially those that have been strained to the brink of closure amid the pandemic (as well as those businesses that have closed… [read post]
21 Apr 2011, 12:16 pm
Indeed, only 32 of the 400 patents (8%) included class 705 (the patent class most associated with business methods). [read post]
25 Jul 2016, 7:50 am
Here’s a partial list of some of the debt buyers I’ve come across: Asset Acceptance Cavalry Portfolio Services Central Prairie Financial Dakota Bluff Financial, LLC Debt Equities, LLC Equable Ascent Financial, LLC Livingston Financial, LLC LVNV Funding Midland Funding Palisades Collection Pipestone Financial, LLC Portfolio Recovery Associates Red Rock Lake Financial, LLC Unifund CCR Partners It’s not… [read post]
26 Nov 2020, 12:09 pm
September 2019 – The SEC charged Independent Financial Group with breaches of fiduciary duty and inadequate disclosures in connection with its mutual fund share class selection practices and the fees it and its associated persons received. [read post]
1 Oct 2017, 11:40 am
In her opinion, Magistrate Judge Debra Freeman observed that Gemma and other “restaurants are owned and operated by Defendants Eric Goode, Sean MacPherson, and several corporate entities, including Defendants Garden Café Associates LLC, Sulcata Corp., Bowery F & B LLC, Bowery Hotel LLC, and BD Stanhope LLC. [read post]
2 Jan 2018, 2:52 pm
To the extent these types of businesses can be held in a pass-through structure (i.e., through a partnership or LLC taxed as a partnership), these types of businesses will become inherently more valuable. 100% Expensing Creates Built-in Tax Shield. [read post]
5 May 2021, 7:46 am
If you have losses from the purchase of securities through Harbor City Capital Corp., Harbor City Ventures, LLC; Harbor City Digital Ventures, Inc.; HCC Media Funding, LLC or any of five other “special purpose” entities, contact Silver Law Group for a no-cost consultation at (800) 975-4345 or ssilver@silverlaw.com. [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Sue Toigo - Chairman of Fitzgibbon Toigo Associates in Los Angeles California Without placement agents, the ability of emerging asset management firms, the majority of which are minority- and women-owned firms, to gain the business of the large public pension funds becomes virtually impossible. [read post]
21 Jul 2015, 6:58 am
Chu entered the securities industry in 2004, when he became associated with NYLife Securities LLC (NYLife). [read post]
17 Feb 2017, 1:28 pm
An unwillingness to provide such documentation, which is mostly generated in the normal course of business, can be a red flag indicating that something is wrong. [read post]
17 Feb 2017, 1:28 pm
An unwillingness to provide such documentation, which is mostly generated in the normal course of business, can be a red flag indicating that something is wrong. [read post]
31 Jan 2011, 2:10 pm
# # # Jennifer BrandBrand Solutions Group, LLC(202) 621-8123 Phone(202) 731-2114 Celljbrand@brandsolutionsgroup.com [read post]
