Search for: "CAPITAL ONE SERVICE LLC"
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9 Nov 2023, 9:01 pm
Indeed, enforcement is one of the SEC’s major activities and the Division of Enforcement is one of its largest operating units. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
6 Nov 2023, 9:46 am
Andrew Miles (Andrew William Miles CRD# 5986774) is a former registered broker and investment advisor last employed with Green Vista Capital, LLC (CRD#:293630) of Winter Park, FL until 3/10/2021. [read post]
3 Nov 2023, 10:39 am
This can include investing in start-ups, venture capital opportunities, or other private securities offerings. [read post]
2 Nov 2023, 9:04 am
In the Adopting Release, FinCEN stated that it is “not implementing additional exemptions beyond the twenty-three specific statutory ones at this time, including to cover non-depository institution holding companies” but that it “will continue to consider suggestions for additional exemptions. [read post]
1 Nov 2023, 10:57 am
Eight of the complaints were settled, with one still pending. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
20 Oct 2023, 2:40 pm
October 20, 2023 Clients, Friends, and Associates: As we end the third quarter and enter the fall season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [read post]
18 Oct 2023, 3:02 pm
July started off with two reported deals as companies looked to strategically combine forces or attract new capital. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
17 Oct 2023, 6:45 am
The California Revenue & Tax Code § 23101 provides one potential definition. [read post]
17 Oct 2023, 5:57 am
Do I need general terms and conditions which are different from the ones I use for my foreign company? [read post]
13 Oct 2023, 1:58 pm
Attendees will be given an overview of how capitated payment fraud has successfully been pled/settled, how to allege “fraud on the plan” schemes when it’s the Plan that is being defrauded, how to identify and plead non-risk adjustment fraud schemes by those in the Part C space, and review of the basic terminology and Part C rules that one needs to know and understand. [read post]
11 Oct 2023, 11:17 am
There’s just one problem: In U.S. [read post]
10 Oct 2023, 11:23 am
DealMaker argued that its offers weren’t the same as Issuance’s so one-to-one comparisons were false, and that its fees don’t depend on a percentage of capital raised. [read post]
9 Oct 2023, 2:34 pm
., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
5 Oct 2023, 2:38 pm
New York and 335-7 LLC v. [read post]
5 Oct 2023, 7:26 am
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
4 Oct 2023, 7:34 am
The Centers for Medicare and Medicaid Services (CMS) pays MA Plans a fixed (also known as capitated) monthly amount for each enrolled beneficiary. [read post]
