Search for: "D&S Investments, LLC"
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15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
9 Nov 2023, 9:01 pm
For example, foreign investment advisers have faced numerous hurdles in registering with the SEC, the pending move to T+1 settlement in the equity markets raises potential mismatches with foreign jurisdictions that will need to be resolved, and some of the SEC’s shortened filing deadlines may present challenges for those in foreign time zones. [read post]
8 Nov 2023, 5:46 am
“Investors often suffer losses due to unsuitable investment recommendations by their brokers and don’t realize they have recovery options,” said D. [read post]
6 Nov 2023, 1:55 pm
The claim further alleges that Ages Financial Services LTD unsuitably invested its clients in high-risk alternative investments, iCap Equity, LLC and GWG L bonds. [read post]
6 Nov 2023, 6:00 am
Established by President Franklin D. [read post]
6 Nov 2023, 4:16 am
You’ve done nothing wrong, and you’d like to continue as a shareholder rather than have your investment liquidated. [read post]
1 Nov 2023, 7:30 am
Here are some highlights: Law Library of Congress Report Discusses Tax and Investment Incentives Join Us on 10/26 for a Foreign and Comparative Law Webinar titled "Nordic Noir: Genealogy as a Criminal Investigation Technique in Denmark and Sweden" Costa Rica Environmental Protections - Pic of the Week Foraging for Mushrooms: A Quick Background Congress.gov New, Tip, and Top – October of 2023 An Interview with Laura Schwarz, Foreign Law Intern Observing Hispanic… [read post]
25 Oct 2023, 6:02 am
Numerous factors should be considered to guarantee that an investment aligns with the client’s financial situation. [read post]
24 Oct 2023, 9:01 pm
If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. [read post]
23 Oct 2023, 11:07 am
Numerous factors should be considered to guarantee that an investment aligns with the client’s financial situation. [read post]
21 Oct 2023, 1:00 am
To change that domicile, it’s not enough to plan to leave. [read post]
20 Oct 2023, 2:40 pm
Rules for SEC-Registered Investment Advisers The Quarterly Statement Rule requires SEC-registered investment advisers (“RIAs”) to provide new quarterly disclosures to fund investors about fees, expenses, and the fund’s performance metrics. [read post]
20 Oct 2023, 8:33 am
Gavin Newsom (D) signed legislation ( AB 39 ) requiring “digital financial assets businesses” to be licensed by the state. [read post]
17 Oct 2023, 2:39 am
In this case, the sales commissions were estimated at 9%, according to the Form D. [read post]
13 Oct 2023, 2:21 am
Jack Sharman | Lightfoot, Franklin & White LLC How do you describe your practice? [read post]
9 Oct 2023, 1:52 pm
LLC, No. 23-51 (U.S. [read post]
9 Oct 2023, 7:00 am
Permagreen, LLC et al. [read post]
3 Oct 2023, 9:01 pm
July 20, 2023, settled) The SEC settled claims against an investment adviser for failure to disclose SPAC [read post]
2 Oct 2023, 8:17 pm
Saskia Mehlhorn, our fellow Houstonian who’s the director of knowledge and research services at Norton Rose Fulbright, nita Cumello, global client, Director and Director of well being global large law firms at Thomson Reuters and Bree Buchanan, Senior Advisor at krill strategies, LLC, and co founder of the well being in law movement. [read post]
