Search for: "First Equities Financial LLC"
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4 Dec 2023, 4:58 am
” The letter generally tracked the first letter but with certain important revisions: The to-be-formed LLC would be designated as a Woman-Owned Business Enterprise (WBE). [read post]
6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
29 May 2019, 7:44 am
Previous employers include Prospera Financial Services, Inc. [read post]
19 Feb 2018, 3:22 am
First, the LLC Law does not authorize a buyout in dissolution proceedings, as the courts noted in Lyons v Salamone, 32 AD3d 757 [1st Dept 2006], and Matter of Superior Vending, LLC, 71 AD3d 1153 [2d Dept 2010]. [read post]
29 May 2023, 8:48 pm
It justified its estimated buyout price based on its lack of access to the LLC’s financial records. [read post]
29 Jan 2024, 4:00 am
However, the CTA and NYLTA differ in three main respects: First, while the CTA provides 90 days for newly formed entities to file their initial reports in 2024, under the NYLTA, newly formed LLCs must file their initial report immediately upon filing the articles of organization for an LLC being formed under New York law or with the filing of the initial application for authority filed by a foreign LLC. [read post]
8 Jul 2020, 6:53 am
The post Investor Alert: GPB Cars 12 LLC appeared first on The White Law Group. [read post]
25 Feb 2020, 12:33 pm
The post VII Peaks Capital, LLC Securities Investigation appeared first on The White Law Group. [read post]
27 May 2017, 7:49 am
Our firm is investigating claims made by regulators and brokerage firms including LPL Financial LLC (LPL Financial) concerning broker Paul Dorion (Dorion). [read post]
7 Jun 2023, 7:29 am
If you are a first-time business owner, you may be asking questions like: What does LLC stand for? [read post]
3 Jul 2020, 6:10 am
The post Investor Alert: Leland Forest Holdings LLC appeared first on The White Law Group. [read post]
29 Jun 2010, 1:47 pm
Inc. $850,000 $94,000 DeWaay Financial Network LLC $850,000 $134,525 Eagle One Investments LLC $360,000 $42,500 Empire Financial Group Inc. $2,750,000 $234,200 Empire Securities Corp. $205,000 - E-Planning.com Securities Inc. $3,765,000 $483,925 First Allied Securities Inc. $380,000 $11,250 Gk Securities LLC $50,000 - Grant Bettingen Inc. $215,000 $19,350 GunnAllen Financial Inc. $22,255,000 - Harrison Douglas Inc.… [read post]
24 Aug 2021, 12:14 pm
Woods And/Or Horizon Private Equity III LLC? [read post]
30 Apr 2012, 3:00 am
First, the origins of the phrase argue against the notion that “for” can encompass derivative claims. [read post]
6 Apr 2020, 11:53 am
The post JP Morgan Chase Equity Linked Contingent Coupon Autocallable Yield Notes appeared first on The White Law Group. [read post]
16 Apr 2020, 12:37 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Jeffrey McHale (McHale), currently employed by Ameriprise Financial Services, LLC (Ameriprise) has been subject to at least three customer complaints during the course of his career. [read post]
28 Apr 2017, 11:58 am
The post Bluerock STL Office Portfolio S LLC Investigation appeared first on White Securities Law. [read post]
6 Apr 2015, 6:23 pm
However, according to FINRA, the Solicitation failed to disclose PNote LLC’s net operating losses as well as TNP’s poor financial condition. [read post]
19 Mar 2020, 12:00 pm
It is authored by our colleagues Zoe Simon and Kenneth Noble. * * * Healthcare and Private Equity in a Financial Downturn: Best Practices to Effectuate a Successful Change in Ownership in Distressed Situations By Zoe Simon and Kenneth Noble Successfully effectuating a change in ownership (including when the target is in financial distress) can be a critical step in a healthcare private equity transaction during a financial downturn. [read post]
26 Jun 2022, 9:01 pm
Private equity firms’ playbook for purchasing or investing in companies can include tactics such as leveraged buyouts, which saddle businesses with debt and shift the burden of financial risk in ways that can undermine long-term health and competitive viability. [read post]
