Search for: "EQUITY FINANCIAL, LLC"
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24 Apr 2020, 9:23 am
Voya Natural Resources Equity Income Fund is a closed-ended equity mutual fund launched by Voya Investment Management LLC and it invests in the public equity markets of North America. [read post]
9 Feb 2022, 9:31 am
Mooney, each a financial adviser at the firm, with funneling investor money into Horizon. [read post]
29 Jan 2024, 4:00 am
For questions about the NYLTA, the CTA, or anti-money laundering (“AML”) compliance, including customer due diligence and beneficial ownership rules, more generally, contact the authors of this article or another member of the McGuireWoods Financial Services & Securities Enforcement team, Government Investigations and White Collar team, Tax & Employment Benefits team, or Corporate & Private… [read post]
31 Aug 2016, 6:00 am
The SEC entered into a $52.5 million settlement with four private equity fund advisers affiliated with Apollo Global Management LLC (collectively “Apollo”) arising out of insufficient disclosures and supervisory failures. [read post]
4 Nov 2014, 6:15 am
Stockholders Litigation, Vice Chancellor Laster found RBC Capital Markets, LLC liable for aiding and abetting the board’s breach of fiduciary duty in connection with Rural’s 2011 sale to private equity firm Warburg Pincus for $17.25 a share, a premium of 37% over the pre-announcement market price. [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]
30 Jan 2016, 6:11 am
Posted by Steve Pakela, Pay Governance LLC, on Saturday, January 30, 2016 Editor's Note: Steve Pakela is a Managing Partner at Pay Governance LLC. [read post]
10 Apr 2020, 6:37 am
Aggressive financial advisors may have unsuitably recommended ETFs in an effort to juice returns. [read post]
24 Sep 2020, 5:09 pm
The new company was formed by Lightyear Capital LLC, a New York privacy equity firm focused on financial services, as the lead investor, with a significant minority stake held by Greater Sum Ventures. [read post]
14 Jun 2021, 4:32 am
The operating agreement’s quorum provision was based on a majority of the equity interests as determined by the members’ capital contributions. [read post]
20 May 2021, 7:13 am
Specifically, the New York-based private equity firm, GPB Capital Holdings, LLC produced recent filings with the Securities and Exchange Commission which included additional financial information. [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. $1,830,000… [read post]
27 Jun 2023, 5:35 am
The White Law Group reviews the regulatory history of JP Morgan Securities LLC. [read post]
30 Apr 2012, 3:00 am
A lawsuit between the owners of an upper east side Manhattan "gentlemen's club" called Sapphire, involving charges of self-dealing and financial abuse by the managing partner, led to an interesting but not surprising decision earlier this month, holding that a member of LLC #1 which, in turn, is a member of LLC #2, lacks standing to seek judicial dissolution of LLC #2. [read post]
12 May 2017, 8:33 am
According to its Form D SEC filing, Principle Equity Management applied for several offerings including PEM Creek S LLC Tenants in Common in Houston, TX. [read post]
12 May 2017, 8:38 am
According to its Form D SEC filing, Principle Equity Management applied for several offerings including PEM Park S LLC Tenants in Common in Houston, TX. [read post]
1 Aug 2022, 4:04 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)FINRA Small Firms Face Existential Crisis. [read post]
1 May 2019, 7:31 am
About Lightyear Capital LLC Founded in 2000, Lightyear is a financial services-focused private equity firm based in New York. [read post]
19 Nov 2011, 2:44 pm
A venture capital fund refers to a pooled investment vehicle (often an LP or LLC) that primarily invests the financial capital of third-party investors in enterprises that are too risky for the standard capital markets or bank loans. [read post]
23 Feb 2010, 3:00 pm
The Doss Firm, LLC, a law firm that focuses on representing investors against financial firms like Ameriprise Financial, may have uncovered that the circumstances surrounding Andrew MacGill's suspension and Ameriprises's $200,000 fine is not an isolated incident. [read post]
