Search for: "US Trade and Exchange, LLC"
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11 Dec 2023, 1:18 pm
Probably the most famous case of using anonymous corporations is Walt Disney, who used them to acquire vast swaths of land in Central Florida that was ultimately used to construct Walt Disney World. [read post]
28 Aug 2019, 12:16 pm
At World Properties, LLC v. [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]
24 Aug 2023, 8:57 am
” See: KBS REIT III Suspends “Ordinary Redemptions” Non-Traded REITs – Complex Investment Products Non-traded REITs are complex investment products. do not trade on a public exchange like traditional stocks. [read post]
21 Apr 2014, 2:44 pm
TABFG, LLC v. [read post]
8 Mar 2022, 12:10 pm
Offshore Exchanges. [read post]
8 Mar 2022, 8:10 am
Offshore Exchanges. [read post]
4 Feb 2013, 12:16 am
Burford’s shares are listed on the London AIM exchange. [read post]
18 Feb 2012, 5:15 am
Such funds are covered by the Securities Exchange Act (1934 Act) and are required to file disclosures with the Securities and Exchange Commission (SEC), just like other publicly traded companies. [read post]
27 Aug 2023, 7:49 pm
From June 2019 through May 2022, Liddle purportedly misappropriated the money from clients of Prosper Wealth Management, LLC (“PWM”), an investment adviser which he controlled. [read post]
30 Mar 2023, 6:52 am
Securities and Exchange Commission (SEC) in 2019. [read post]
8 Jul 2021, 11:11 am
Even compelling rationales like protecting trade secrets cannot justify using disproportionately broad and untethered confidentiality orders. [read post]
18 Sep 2014, 3:14 am
“In the second paragraph, add a comma,” she wrote to an attorney for the trust, sponsored by Incapital LLC, in December, “to improve readability. [read post]
6 Jul 2016, 9:49 am
Leonard Allen Goldberg (CRD #223972, Rancho Mirage, California) Goldberg consented to the sanction and to the entry of findings that he caused over $123,600 in losses to five customers Disciplinary and Other FINRA Actions 23 June 2016 while making over $77,900 for himself and his member firms by using discretion without the requisite written authorization in connection with 300 mutual fund and exchange traded fund (ETF) transactions to his benefit and the… [read post]
20 Jul 2023, 2:09 am
It is responsible for overseeing the activities of brokerage firms, and for enforcing rules and regulations related to the trading of securities. [read post]
24 May 2016, 9:31 am
The findings stated that the firm failed to establish, maintain, and enforce a supervisory system and WSPs reasonably designed to prevent unsuitable mutual-fund switching and to supervise the sale of leveraged, inverse and inverse-leveraged exchange-traded funds (ETFs). [read post]
28 Nov 2022, 12:56 pm
Stamer uses her deep and highly specialized health, insurance, labor and employment and other knowledge and experience to help employers and other employee benefit plan sponsors; health, pension and other employee benefit plans, their fiduciaries, administrators and service providers, insurers, and others design legally compliant, effective compensation, health and other welfare benefit and insurance, severance, pension and deferred compensation, private exchanges, cafeteria plan… [read post]
22 Jul 2016, 11:01 am
We have been in discussions with certain Cayman law firms about how managers might use such LLCs in their offshore structures in future. [read post]
29 Feb 2016, 9:56 am
Commodity Futures Trading Commission (“CFTC”), which recently issued an order finding that bitcoin are a commodity covered by the Commodity Exchange Act. [read post]
