Search for: "Capital One Services, LLC"
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10 Nov 2023, 10:56 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, advised Coborn’s Inc. on the sale of its 14 Holiday franchised fuel and convenience stores and one developmental site to Holiday Stationstores LLC. [read post]
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]
