Search for: "New York Capital Investments, LLC"
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10 Jul 2023, 12:36 pm
(CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. [read post]
10 Jul 2023, 6:47 am
The agencies also charged two individuals, including a chief compliance officer, for purchases and sales on information illegally obtained from a New York-based investment bank (SEC v. [read post]
20 Jun 2023, 7:26 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
19 Jun 2023, 2:05 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
13 Jun 2023, 3:35 am
Private equity investment in legal tech companies may prioritize short-term profits over community programs. [read post]
7 Jun 2023, 8:52 am
His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. [read post]
1 Jun 2023, 5:51 am
Another large exempt category is for an entity described as a “pooled investment vehicle,” which is defined as a fund that would be an investment company under the Investment Company Act but for Sections 3(c)(1) or 3(c)(7), that is advised by certain exempt entities, including banks, credit unions, broker-dealers in securities, investment companies and investment advisers, and venture capital fund advisors. [read post]
29 May 2023, 8:48 pm
” Until then, I’ll have to satisfy myself with writing about an LLC, partnership, and close corporation that walk into a blog, offering the following, short treatments of three recent decisions of interest by New York courts: The first, involving an LLC, features a dispute arising from a somewhat unusual right of first refusal provision in an LLC operating agreement that authorizes an intra-member buyout of membership interests triggered by… [read post]
9 May 2023, 11:55 am
Investment Fraud Lawyer Jake Zamansky Breakdown Common Investment Scams 00:10 Hello everyone. [read post]
8 May 2023, 4:01 am
Statutory fair value appraisal proceedings in New York come in two flavors. [read post]
5 May 2023, 9:32 am
In Highland Capital v. [read post]
5 May 2023, 9:15 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
4 May 2023, 1:58 pm
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
21 Apr 2023, 8:00 am
See: Griffin Realty Trust Plans Spin-off, Liquidation as NAV Declines Peakstone Realty Trust (NYSE: PKST) hosted a webcast on April 20, to discuss their recent listing on the New York Stock Exchange and the “dramatic discount to net asset value” at which the stock has traded, according to the DI Wire. [read post]
17 Apr 2023, 7:03 am
(CRD#:15007), MELVILLE, NY, B, 11/21/2017 – 03/28/2018, MAXIM GROUP LLC (CRD#:120708), NEW YORK, NY B, 08/04/2016 – 11/22/2017, STOCKKINGS CAPITAL LLC (CRD#:164445), NEW YORK, NY FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
14 Apr 2023, 11:30 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
14 Apr 2023, 9:58 am
Our lawyers are admitted to practice in New York and Florida and represent investors nationwide in securities arbitration to help recover investment losses due to stockbroker misconduct. [read post]
13 Apr 2023, 8:03 am
Riley Wealth Management unsuitably invested its clients in the following high-risk, alternative investments: Healthcare Trust, ARC Trust V, Inc., First Capital Real Estate Trust, Inc., Hospitality Investors Trust, ARC Retail Center of America, Inc., ARC Global Trust, Inc., ARC New York City REIT, KBS Real Estate Investment Trust III, Inc. and American Finance Trust, Inc. [read post]
10 Apr 2023, 3:31 pm
His previous employers included Maxim Group LLC (CRD# 120708) and Stockkings Capital LLC (CRD# 164445) of New York, NY, and Caldwell International Securities (CRD#:104323) of Nassau. [read post]
