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13 Nov 2019, 6:24 am
Venture capitalists will not invest in a 506(c) offering, and this entrepreneur could not go back and change the offering to a 506(b) offering. [read post]
9 Mar 2011, 7:39 am
Attorney’s Office unsealed an indictment charging a Tampa, Florida insurance agent Steven B. [read post]
9 Apr 2023, 10:07 am
” The Washington State Distressed Property Law RCW 61.34.020 defines a distressed property as (a) A dwelling that is in danger of foreclosure or at risk of loss due to nonpayment of taxes; or (b) A dwelling that is in danger of foreclosure or that is in the process of being foreclosed due to a default under the terms of a mortgage. [read post]
2 Jun 2016, 11:20 am
The SEC’s complaint charges Davis with violations of Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 as well as Sections 5 and 17(a) of the Securities Act of 1933, and Sections 206(1), 206(2) and 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8. [read post]
22 Dec 2011, 8:36 am
Though some feel that an effective crowdfunding exemption could greatly democratize seed financing, the facts are (a) there is as of yet no such thing as a crowdfunding securities exemption, and (b) angel financing is far and away the means by which most startups are financed today. [read post]
19 Oct 2022, 6:49 am
(CRD#:124583), CLEARFIELD, UT, B, 07/01/2014 – 05/08/2018, ALLEGIS INVESTMENT SERVICES, LLC (CRD#:168557), Clearfield, UT B, 03/22/2010 – 07/02/2014, SUMMIT BROKERAGE SERVICES, INC. [read post]
7 Feb 2019, 9:29 am
The funding was raised from existing investors Invoke Capital, Talis Capital and Slaughter and May. [read post]
28 Sep 2018, 7:58 am
Schmidt’s misrepresentations violate federal securities laws, including Section 10(b) of the Exchange Act and Exchange Act Rule 10b-5. [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]
22 Sep 2023, 11:06 am
While the customer complaints mentioned in the Brokercheck report allege misconduct by David B. [read post]
22 Sep 2023, 11:06 am
While the customer complaints mentioned in the Brokercheck report allege misconduct by David B. [read post]
22 Sep 2023, 11:06 am
While the customer complaints mentioned in the Brokercheck report allege misconduct by David B. [read post]
Medley Management and Former Co-CEOs to Pay $10 Million Penalty for Misleading Investors and Clients
28 Apr 2022, 1:14 pm
Taube and Seth B. [read post]
24 Jan 2013, 5:07 am
It is a new investor in Ceterix. [read post]
3 Apr 2012, 8:23 am
Certain types of investors and employees are drawn to companies that share similar values. [read post]
12 Jul 2018, 6:00 am
Basho Technologies Holdco B LLC v. [read post]
5 Sep 2012, 6:55 am
Lindsey B. [read post]
11 May 2012, 5:27 am
The International Bar Association (IBA), Mediation Committee has recently published a draft version of rules for investor-state mediation. [read post]
19 May 2015, 2:10 pm
Winners are judged by an expert panel of venture capitalists, angel investors, serial entrepreneurs, CEOs and technology experts. [read post]
1 Oct 2008, 2:31 pm
” It’s not just in the headlines and on the lips of presidential candidates, stressed-out investors and agitated voters — it has also begun appearing in filings with the Securities and Exchange Commission. [read post]
