Search for: "BDS Capital Management LLC"
Results 1 - 20
of 23
Sort by Relevance
|
Sort by Date
22 Jan 2024, 8:08 am
According to his FINRA BrokerCheck profile, Hales was affiliated with the following firms: B, 09/26/2018 – 03/07/2022, VIRTU AMERICAS LLC (CRD#:149823), Austin, TX B, 05/11/2016 – 04/09/2020, VIRTU FINANCIAL BD LLC (CRD#:148390), AUSTIN, TX B, 05/11/2016 – 12/24/2018, VIRTU FINANCIAL CAPITAL MARKETS LLC (CRD#:45986), NEW YORK, NY If you have suffered losses investing with Lucas Hales, the… [read post]
8 Mar 2022, 12:10 pm
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
8 Mar 2022, 8:10 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
21 Apr 2021, 9:37 am
EMERSON EQUITY LLC GENEOS WEALTH MANAGEMENT, INC. [read post]
3 Jul 2020, 6:10 am
In this particular investment, sales commissions, due diligence fees, managing BD fees, and wholesale fees paid were estimated at close to 10%, according to the form D. [read post]
2 Jul 2020, 7:35 am
For this particular investment, the sales commissions and “due diligence fees, managing BD feed and wholesaling fees” were estimated at close to 10%, according to the form D. [read post]
2 Jul 2020, 6:24 am
For this particular investment, the sales commissions and “due diligence fees, managing BD feed and wholesaling fees” were estimated at close to 8%, according to the form D. [read post]
29 Jan 2020, 4:55 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
2 Oct 2019, 10:21 am
Asarco LLC, 135 S. [read post]
5 Mar 2019, 10:03 am
MSC – BD LLC National Securities Corp. [read post]
19 Feb 2019, 6:56 am
Strategic Realty Capital, LLC, 2019 WL 384000 (M.D. [read post]
6 Oct 2017, 11:39 pm
See Capital One Bank, N.A. v. [read post]
31 Jan 2014, 5:20 am
Panel II: Private Fund Adviser Topics Speakers: Ashish Ward, Exam Manager, National Exam Program, Los Angeles Regional Office Alpa Patel, Senior Counsel, Division of Investment Management Igor Rozenblit, Specialist, Division of Enforcement, Asset Management Unit James Capezzuto, General Counsel & Chief Compliance Officer, Cornerstone Capital Management LLC Barbara Burns, Chief Compliance Officer, AEA Investors SBF LLC Key focus areas… [read post]
26 Dec 2013, 1:27 pm
Margules, Esquire, BOUCHARD MARGULES & FRIEDLANDER, P.A., Wilmington, Delaware, Attorneys for Defendants SIG Growth Equity Management, LLC, SIG Growth Equity Fund I, LLLP, Amir Goldman, Jonathan Klahr, Donors Capital Fund, Inc., Kids Connect Charitable Fund, Daniel Kleinberg, and Tomer Herzog.David S. [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
13 Jun 2013, 7:05 pm
Mirror Worlds, LLC v. [read post]
1 May 2012, 12:58 pm
The corporation's failure to give 60-days notice before issuing the dividend did not make it impossible for plaintiffs to comply with the trustee demand exception.Akanthos Capital Management, LLC v. [read post]
4 Jan 2011, 7:32 am
$585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc. $410,000 $110,150 … [read post]
1 Mar 2010, 7:11 pm
(Docket Report) District Court N D Illinois: Jurisdiction over declaratory patent claims based upon location of enforcement: Chicago Bd. [read post]