Search for: "Capital Funding, LLC"
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2 Nov 2023, 9:04 am
These include, among others: Large operating companies (20+ full time employees and $5 million in gross receipts/sales); Public companies; Venture capital fund advisors; Pooled investment vehicles; Subsidiaries of certain exempt entities (must be wholly owned subsidiaries); Insurance companies and insurance producers; Certain other highly regulated entities, such as: Banks; Credit unions; Bank holding companies; Securities brokers or dealers; SEC-registered investment companies or… [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
1 Nov 2023, 12:38 pm
Short-Term Trading of Mutual Funds Mutual fund switching or short-term mutual fund trading by a broker can be detrimental to their clients for several reasons: Frequent switching or trading in and out of mutual funds can lead to higher transaction costs, such as sales charges, redemption fees, and capital gains taxes. [read post]
31 Oct 2023, 9:05 pm
LTL assumed responsibility for all of JJCI’s talc-related liabilities in return for certain rights under a funding agreement. [read post]
25 Oct 2023, 10:04 pm
If a company formed as an LLC wants to raise capital, it may be at a disadvantage with investors for the following reasons: LLCs cannot issue stock. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
SEC Adopts Final Rules for Private Fund Advisers. [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [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, 2:39 am
The company also reports that the advisor will subordinate the repayment of the deferred fees to the investor’s return of capital. [read post]
11 Oct 2023, 11:17 am
Court of Appeals for the 2nd Circuit applied general preemption principles to his case, and concluded that New York’s interest-on-escrow law was preempted because it “would exert control over banks’ exercise of th[e] power” to “create and fund escrow accounts. [read post]
9 Oct 2023, 2:34 pm
”[v] Additionally, by putting cash back into investors’ hands quickly, dividend recaps can make it easier for a private equity firm to raise capital for new funds. [read post]
9 Oct 2023, 4:22 am
Leasing, development, and operation costs for the four locations exceeded $2.2 million (exceeding by $1 million the initial investors’ capital investment of $1.2 million). [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]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
3 Oct 2023, 12:46 pm
Rapidly growing startup companies often receive funding directly from private investors, like Venture Capital firms, Private Equity funds, or individual Angel Investors. [read post]
2 Oct 2023, 4:22 am
If, upon joining the LLC, for example, a member hasn’t agreed ex ante to give others the power to increase their obligation to contribute capital or to dilute their tax allocations and distribution rights, you wouldn’t expect them to suffer, without their consent, the adverse consequences of such amendments that go to the heart of their membership interest. [read post]
28 Sep 2023, 1:25 pm
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
28 Sep 2023, 1:25 pm
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
28 Sep 2023, 1:25 pm
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. [read post]
