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21 May 2015, 8:00 am
Citibank, N.A., the Court will decide whether the Broughton-Cruz rule survives the United States Supreme Court's decision in AT&T Mobility LLC v. [read post]
2 May 2015, 12:00 pm
W2007 Grace, which is indirectly owned by one or more private equity funds affiliated with The Goldman Sachs Group Inc., has agreed to pay $640,000 to settle the SEC’s charges relating to eight missed filings. [read post]
25 Mar 2022, 12:16 pm
(Opinion, United States Supreme Court)Massachusetts Superior Court Denies Secretary of State Galvin's Motion Against RobinhoodRobinhood Financial, LLC. v. [read post]
23 Feb 2024, 8:25 am
This theory has been recently strengthened by 303 Creative LLC v. [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
28 Jan 2011, 3:28 pm
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
17 Jan 2010, 9:29 pm
Court of Appeals for the Fifth Circuit has affirmed the dismissal of LSF5 Bond Holdings LLC and Lone Star Fund V (U.S.) [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
2 Nov 2020, 5:59 am
In September, the private equity firm Lightyear Capital LLC, through a newly formed company called ProfitSolv, made two notable acquisitions of legal technology companies: Rocket Matter, the cloud-based practice management company, and TimeSolv, a provider of cloud-based legal billing and timekeeping software. [read post]
29 Jul 2022, 12:36 pm
A private investor is pursuing $7 million in a lawsuit against short seller Carson Block and his equity research firm Muddy Waters LLC in a spat over an approximately $14 million whistleblower award by the Securities and Exchange Commission. [read post]
14 Aug 2012, 5:46 am
., a small broker-dealer that was a big seller of fraudulent Provident Royalties LLC private placements, has shut down. [read post]
17 Feb 2012, 5:49 am
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
3 Nov 2015, 12:43 pm
Domestic Private Banking business an opportunity to transition to Wells Fargo’s brokerage business, Wells Fargo Advisors, LLC (“Wells Fargo Advisors”), by early 2016. [read post]
30 Jan 2011, 9:45 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
15 Feb 2008, 8:07 am
Judge Scheindlin ordered Credit Suisse Securities (USA) LLC to turn over to private plaintiffs documents that were prepared in an internal investigation and previously revealed to the SEC and U.S. [read post]
30 Jan 2011, 5:51 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
6 Jul 2023, 11:20 am
Premier sponsor industry leaders Cole-Frieman & Mallon LLP, MG Stover LLC, Harneys, and KPMG are dedicated to supporting fund managers in the digital asset space. [read post]
21 Apr 2008, 12:08 pm
Hoyt (Missouri-Kansas City) shared with the TaxProf E-Mail Discussion Group his analysis of three private letter ruliongs released by the IRS on Friday (April 14, 2008): PLR 200816002, 200816003, and 200816004 (Jan. 14, 2008). [read post]
