Search for: "Corporate Funding & Investments LLC"
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8 Jan 2014, 5:37 am
According to Orlando’s public disclosures, the DLG notes were supposed to invest funds in distressed real estate and mortgage lending. [read post]
2 Jan 2014, 9:15 am
Senen Pousa and Investment Intelligence Corporation PTY LLC Case number: 12-cv-00863 (United States District Court for the Western District of Texas) Case filed: September 18, 2012 Qualifying judgment/order: December 4, 2013 12/20/2013 03/20/2014 2013-118 SEC v. [read post]
31 Dec 2013, 7:34 am
HK Food Group LLC Alden & Harlow Joshua M. [read post]
30 Dec 2013, 6:33 am
Thereafter, FINRA alleged that Isaacs negligently misrepresented to the customers that an investment in CIP Leverage Fund Advisors, LLC (CIP) was for moderately conservative investors and would pay interest to the investors on a monthly basis. [read post]
20 Dec 2013, 4:08 pm
According to BrokerCheck, Polito worked in Pennsylvania with PNC Investments from Oct. 2004 through Aug. 2010, and Investment Financial Corporation from Nov. 2010 through Nov. 2011. [read post]
20 Dec 2013, 10:06 am
[The Board sustained this opposition to registration of STONE LION CAPITAL for "financial services, namely, investment advisory services, management of investment funds, and fund investment services" [CAPITAL disclaimed], finding the mark likely to cause confusion with the registered marks LION and LION CAPITAL for various financial services [CAPITAL disclaimed]].StonCor Group, Inc. v. [read post]
19 Dec 2013, 5:44 am
Giordano’s BrokerCheck states that he is the general manager of Giordano Asset Management LLC and treasurer of Giordano Holding Corporation. [read post]
18 Dec 2013, 7:34 am
Judge Parker, in a separate opinion, would affirm the lower court judgment in its entirety (Kwan v The Andalex Group, LLC, December 16, 2013, Koeltl, J). [read post]
12 Dec 2013, 2:59 pm
In 2010, IMH Financial converted from a limited liability company (IMH Secured Loan Fund, LLC) into a corporation to better position the company for an initial public offering (IPO). [read post]
11 Dec 2013, 7:48 am
One of the entities, HoldCo, served as the holding company and sole managing member of another entity, BH S&B Holdings LLC (Holdings), which was funded by Bay Harbour, York Capital, and another entity. [read post]
26 Nov 2013, 2:28 am
While there are no legal restrictions barring an LLC from going public (Fortress Investment Group LLC (NYSE: FIG) is an example of one which has done so), most companies that do go public do so as a C corporation. [read post]
20 Nov 2013, 8:30 am
The divisions consist of: · Corporation Finance · Trading and Markets · Investment Management · Enforcement · Risk, Strategy, and Financial Innovation Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that acts as the securities industry watchdog. [read post]
17 Nov 2013, 8:28 am
The invested funds were provided by 28 investors. [read post]
11 Nov 2013, 3:39 am
Blankfein: Demand Not Excused The next case involving derivative claims and demand futility stems from investment bank Goldman Sachs Group, Inc. [read post]
7 Nov 2013, 9:00 am
In their lawsuit, Lawson and Zang claim that their employers – a group of privately-owned Fidelity subsidiaries that serve as “investment advisers” to publicly-held Fidelity mutual funds – retaliated against them for raising concerns about fraud. [read post]
7 Nov 2013, 6:11 am
One offering was Pacific Yogurt Partners, LLC (Pacific Yogurt) a limited liability corporation formed in 2007 to acquire franchise rights from Golden Spoon Frozen Yogurt. [read post]
6 Nov 2013, 9:34 am
METRO-DADE INVESTMENTS CO., et al., Respondents. [read post]
5 Nov 2013, 6:03 am
These investments do not fit into standard categories such as mutual funds or corporate filings that are overseen by the Securities and Exchange Commission. [read post]
4 Nov 2013, 7:41 am
-->(Pix: Li liqiang chaired State Council Executive meeting on Oct 25 promoting small business investment and lowering investment cost. http://js.china.com.cn/rdxw/377972.shtml) China has been increasingly active in global conversations about corporate governance. [read post]
4 Nov 2013, 5:18 am
According to FINRA, Hotton converted funds from his customers by using his control over the bank accounts of various corporate entities to divert funds that his customers believed were being invested in legitimate businesses. [read post]
