Search for: "National Capital Management, LLC"
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26 Jun 2023, 3:48 pm
“I thought it up, I created it, I managed it for a long time. [read post]
22 Jun 2023, 7:35 am
The White Law Group, LLC is a well-established law firm specializing in national securities fraud, securities arbitration, investor protection, and securities regulation/compliance. [read post]
20 Jun 2023, 8:17 am
(CRD#:37), DENVER, CO, B, 03/04/2020 – 10/08/2020, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC B, 01/02/2015 – 05/02/2018, CAPITAL ONE INVESTING, LLC (CRD#:45744), Houston, TX B, 05/13/2014 – 01/02/2015, CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658), BEAUMONT, TX Failure to Supervise All broker-dealers have a responsibility to adequately supervise its… [read post]
12 Jun 2023, 2:27 am
The two-day conference hosts the nation’s leading authorities for deeply insightful discussions on legal developments concerning LLC formation, governance, and use. [read post]
6 Jun 2023, 7:49 am
Cohen’s other business activities reportedly include Eqis Capital Management, according to his BrokerCheck report. [read post]
1 Jun 2023, 5:51 am
Still, many potentially affected business owners, managers, and advisers in and outside the U.S. have yet to learn about it. [read post]
17 May 2023, 11:30 am
The firm reportedly manages $58.8 billion. [read post]
11 May 2023, 9:01 pm
Treasury Markets The $24 trillion Treasury markets are the base upon which so much of our capital markets are built. [read post]
11 May 2023, 12:36 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
26 Apr 2023, 8:29 am
UBS Securities, LLC. [read post]
21 Apr 2023, 8:00 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
21 Apr 2023, 6:00 am
Some called for Congress to restore the FTC’s authority to seek monetary remedies for deceptive practices under 13(b), which the Supreme Court’s decision in AMG Capital Management, LLC v. [read post]
14 Apr 2023, 9:58 am
According to FINRA Disciplinary actions for March 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS John Carroll Vanderbilt Securities, LLC National Securities Corporation Jamie Worden Worden Capital Management LLC Salomon Whitney LLC Brokers and brokerage firms are… [read post]
13 Apr 2023, 8:03 am
” The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Apr 2023, 11:39 am
Smith managed and controlled Broad Reach Capital LP, a pooled investment fund/hedge fund that was established in February 2016 and was open to accredited investors. [read post]
10 Apr 2023, 11:49 am
Arete Complaints involving GPB Capital In February 2021, Arete Wealth Management lost a $515,000 arbitration claim for losses involving high-risk private placements managed by GPB Capital Holdings. [read post]
5 Apr 2023, 2:05 pm
SEC Sanctions Packerland Brokerage Services In 2017, the SEC reportedly settled charges against Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. [read post]
4 Apr 2023, 5:59 pm
If you are forming a foreign-capital invested company the process, also, requires the transfer of capitalization from a foreign account to a Korean account and registration of the capital remittance. [read post]
2 Apr 2023, 6:00 am
Nevertheless, the ecosystem remains dynamic and responsive to the evolving landscape of digital data management and legal technology. [read post]
Can fishermen be required to pay for federal monitors? And by the way – should Chevron be overruled?
30 Mar 2023, 10:31 am
The Magnuson-Stevens Act governs the management of fisheries in federal waters and provides that the National Marine Fisheries Service may require vessels to carry federal observers onboard to enforce agency regulations to prevent overfishing. [read post]
