Search for: "D&S Investments, LLC"
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23 Aug 2023, 6:03 am
In return for your commitment, the bank or credit union promises you a fixed interest rate that’s often higher than what you’d get in a regular savings account. [read post]
16 Aug 2023, 10:52 am
[vii] The SEC claimed that Jarkesy, along with his advisory firm Patriot28, LLC, made false representations to their investors, including falsely advising that a prominent accounting firm and investment bank served as the funds’ auditor and broker, respectively, and misrepresenting the funds’ investment strategies and overvaluing the funds’ holdings. [read post]
16 Aug 2023, 8:31 am
Reg D Private Placements: Investing in companies through private placements, such as Reg D offerings, can be illiquid. [read post]
14 Aug 2023, 8:45 am
LLCs; Other similar U.S. entities, such as limited partnerships and business trusts/statutory trusts; and Non-U.S. corporations, LLCs and other similar entities that are registered to do business in the United States. [read post]
14 Aug 2023, 8:45 am
LLCs; Other similar U.S. entities, such as limited partnerships and business trusts/statutory trusts; and Non-U.S. corporations, LLCs and other similar entities that are registered to do business in the United States. [read post]
4 Aug 2023, 10:18 am
The franchise, CLB Investments LLC, was fined $56,106 for the violations. ( INSURANCE JOURNAL ) —Compiled by SNCJ Managing Editor KOREY CLARK Please visit our webpage to connect with a State Net representative and learn how the State Net legislative and regulatory tracking solution can help you identify, track, analyze and report on relevant legislative and regulatory developments. [read post]
31 Jul 2023, 9:16 am
Cody, a New Jersey financial advisor was charged with defrauding his retired clients through his company, Boston Investment Partners, LLC. [read post]
28 Jul 2023, 1:02 pm
Woods of Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC was allegedly running an extensive ponzi scheme. [read post]
24 Jul 2023, 11:28 am
It’s important to carefully consider the fees prior to investing. [read post]
23 Jul 2023, 1:50 pm
A live webinar “Greenwashing: How to Mitigate Your Risk” 30 talking points in 30 minutes, Tuesday, July 25 at 9 am ET presented by Stuart Kaplow and Nancy Hudes on behalf of ESG Legal Solutions, LLC. [read post]
21 Jul 2023, 11:56 am
Section 1962(d). [read post]
21 Jul 2023, 9:05 am
Luxury Home Buyers, LLC, No. 2:20-cv-01344-JAD-VCF, |2023 WL 4636917 (D. [read post]
20 Jul 2023, 2:09 am
They must ensure that each investment recommendation that is made is suitable for the investor in light of the investor’s age, risk tolerance, net worth, financial needs, and investment experience. [read post]
16 Jul 2023, 5:56 pm
Flow Valve, LLC, 926 F.3d 1346 (Fed. [read post]
14 Jul 2023, 6:30 am
Horvath, Julien Bourgeois and Mark D. [read post]
14 Jul 2023, 6:30 am
Horvath, Julien Bourgeois and Mark D. [read post]
10 Jul 2023, 10:00 pm
It’s a lot! [read post]
10 Jul 2023, 12:36 pm
(CRD# 15768), Paulson Investment Company LLC (CRD#:5670), and Aegis Capital Corp. [read post]
5 Jul 2023, 7:33 am
Skyways, Inc., 78 U.S.P.Q.2d 1203, 1211 (T.T.A.B. 2006) (finding that a delay of three years, eight months supported a laches defense to a cancellation based on Section 2(d) likelihood of confusion), aff’d, 208 F. [read post]
23 Jun 2023, 7:50 am
Managing Partner, D. [read post]
