Search for: "Private Capital Investments, LLC"
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3 Sep 2013, 8:23 am
Penny stocks generally are quoted over-the-counter, such as on the OTC Bulletin Board or OTC Link LLC. [read post]
10 Nov 2010, 8:49 am
(AFFCO Investments 2001 LLC v. [read post]
7 Apr 2020, 11:49 am
Investors in these structured debt and equity financings likely will include commercial credit companies making asset-backed loans, private equity, distressed asset investment funds, family offices and other private investors interested in assisting in the survival and success of SMBs. [read post]
26 Jun 2019, 11:05 am
Moskowitz was a managing director at Patomak Global Partners LLC prior to returning to the SEC as Chief of Staff.Mr. [read post]
12 Feb 2018, 7:50 am
Unfortunately for investors, this represents a significant loss on their capital investment of $10.00/share. [read post]
21 Feb 2019, 6:31 am
Instead of investing their funds into private placements and real estate, he used it on his own personal expenses. [read post]
26 Oct 2023, 12:25 am
In uncertain market conditions or when the investment outlook is less favorable, this lack of liquidity can become a risk, as you may not be able to access your capital easily. [read post]
20 Jul 2017, 6:24 am
American Realty Capital New York City REIT is a non-traded real estate investment trust focused on properties located in the five boroughs of New York City, with a focus on Manhattan. [read post]
16 Oct 2020, 4:45 am
Previously registered broker Yousuf Saljooki (also known as Joe Saljooki) who formerly associated with Worden Capital Management LLC and SW Financial as a general securities representative has been barred after he allegedly failed to provide information and documents requested and did not appear for testimony in relation to his participation in undisclosed business activities according to FINRA’s Default Decision under review by investors rights attorney Alan Rosca. [read post]
16 Oct 2020, 4:45 am
Previously registered broker Yousuf Saljooki (also known as Joe Saljooki) who formerly associated with Worden Capital Management LLC and SW Financial as a general securities representative has been barred after he allegedly failed to provide information and documents requested and did not appear for testimony in relation to his participation in undisclosed business activities according to FINRA’s Default Decision under review by investors rights attorney Alan Rosca. [read post]
22 Jan 2024, 8:08 am
According to his FINRA BrokerCheck profile, Hales was affiliated with the following firms: B, 09/26/2018 – 03/07/2022, VIRTU AMERICAS LLC (CRD#:149823), Austin, TX B, 05/11/2016 – 04/09/2020, VIRTU FINANCIAL BD LLC (CRD#:148390), AUSTIN, TX B, 05/11/2016 – 12/24/2018, VIRTU FINANCIAL CAPITAL MARKETS LLC (CRD#:45986), NEW YORK, NY If you have suffered losses investing with Lucas Hales, the… [read post]
1 Dec 2023, 1:16 am
The SEC is also charging the executive and Cole Capital Funds LLC, an entity he formed and controlled, with issuing a false press release in November 2023 stating that Cole Capital intended to purchase 51% of all minority ownership shares in WeWork Inc. at $9 a share, more than nine times WeWork’s then-current trading price. [read post]
24 Dec 2014, 10:54 pm
(May 29, 1997), Angel Capital Electronic Network (October 25, 1996), FundersClub Inc. and FundersClub Management LLC (March 26, 2013) and AngelList LLC and AngelList Advisors LLC (March 28, 2013). [read post]
14 Jun 2011, 1:02 pm
Partners, LLC v. [read post]
2 Nov 2012, 7:24 am
For example, FINRA has recently fined and sanctioned several broker-dealers that sold two series of private placements like Medical Capital holdings Inc. notes and preferred shares of Provident Royalties LLC that collapsed in 2009. [read post]
18 May 2021, 3:43 am
GPB Capital sold unregistered, high commission limited partnership interests in eight alternative-asset investment funds. [read post]
28 Mar 2017, 7:00 am
The Private Placement Memorandum. [read post]
14 Feb 2022, 4:44 am
Between 2011 and 2014, Quattro’s primary members invested almost $150 million into the capital-intensive effort to build a broadband network in a foreign country. [read post]
16 Aug 2011, 9:58 am
Many small startups use storebought forms or software to set up their LLC or S Corporation. [read post]
21 Dec 2017, 6:00 am
IA-4220 (October 8, 2015) (notice) and IA-4254 (November 3, 2015) (order); Brookfield Asset Management Private Institutional Capital Adviser US, LLC et. al., Investment Advisers Act Release Nos. [read post]
