Search for: "Capital Accounts LLC"
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17 Apr 2023, 9:52 am
FINRA Sanctions RBC Capital Markets for Unsuitable Short-term trading According to public documents this week, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has censured and fined RBC Capital Markets LLC $300,000 for supervisory issues. [read post]
31 Aug 2018, 10:37 am
That allows for profits from sales in the future to be taxed as long term capital gains rather than ordinary income, which is a lower effective tax rate. [read post]
18 Sep 2019, 9:01 am
That allows for profits from sales in the future to be taxed as long term capital gains rather than ordinary income, which is a lower effective tax rate. [read post]
5 Feb 2021, 9:43 am
Lon Charles Faccini Jr. is a stockbroker with Arive Capital Markets LLC (“Arive Capital Markets”) in Brooklyn, NY, with a history of customer complaints and associations with disreputable broker-dealers. [read post]
26 Sep 2007, 2:10 pm
it may be necessary under the technical regulations that apply to special allocations for the co-owners to agree in the LLC operating agreement to be personally liable for any losses incurred by the LLC that exceed the balance in their capital accounts. [read post]
5 Dec 2007, 6:40 pm
Rafferty Capital Markets LLC says it will pay over $400,000 in sanctions and abide by a 90-day ban preventing it from opening mutual fund brokerage accounts for customers. [read post]
31 Mar 2009, 1:45 am
The answer to what sort of entity you should use when forming your business is a complex one that will depend on many factors and you should certainly consult your accountants, lawyers and tax advisers (and probably not your uncle, unless he happens to be one of the foregoing).However, as I have posted in great detail before, one thing I can say with a fair amount of certainty is that, if you intend to raise venture capital, you should almost never use the LLC form. [read post]
16 Jul 2019, 7:05 am
Previous employers include First Standard Financial Company LLC (CRD#:168340) of Garden City, NY, and Aegis Capital Corp. [read post]
11 Aug 2014, 5:40 am
The law offices of Gana LLP recently filed a securities arbitration on behalf of an investor against JHS Capital Advisors, LLC f/k/a Pointe Capital, Inc. [read post]
6 Jan 2021, 8:18 am
FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded. [read post]
21 Sep 2020, 4:07 am
” Under Cartalemi, a withdrawn LLC member lacks standing to bring a derivative claim for an accounting post-withdrawal from the LLC. [read post]
7 May 2021, 7:06 am
JABL LLC, an investment fund based in New York, NY, reportedly filed a form D to raise capital from investors in 2018. [read post]
4 Apr 2013, 1:09 pm
In WC Capital Management, LLC v. [read post]
8 Aug 2018, 12:26 pm
NextDecade Corporation (NextDecade) announced that it has agreed to sell $50 million of convertible preferred stock: $35 million worth to HGC NEXT INV, LLC and $15 million worth to funds and accounts managed by each of York Capital Management Global Advisors, LLC and its affiliates, Valinor Management, L.P., and Halcyon Capital Management LP. [read post]
11 Aug 2022, 3:44 pm
They initially decided to each contribute additional capital to keep the company afloat; however, following a disagreement, one member (AHJ&R Business Development LLC, owned and controlled by Howard Feiler) informed the other member (5high LLC, an entity owned and controlled by Lawrence Arin) that he no longer wanted to be involved with the company and requested the return of his check for the additional capital. [read post]
9 Nov 2021, 1:34 pm
FINRA Fines Aegis Capital Corp. $2.8M For Excessive and Unsuitable Trades According to The Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly censured and fined Aegis Capital Corp. $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were allegedly excessively and unsuitably traded by the firm’s representatives. [read post]
22 Aug 2018, 6:00 am
No. 12921-VCL (Aug. 13, 2018), well illustrates these principles—the court applied default rules under the Limited Liability Company Act to hold that an expelled member of a Delaware LLC was entitled to the fair value of his interest and not simply to the value of his capital account. [read post]
13 Sep 2021, 2:00 pm
For example, if you want to form ABC Capital, LLC, but there is already an ABC Capital, Inc., that would present a conflict making the proposed name unavailable. [read post]
5 Apr 2022, 7:25 am
(CRD#:21786), and American Capital Partners, LLC (CRD#:119249), also of Hauppauge. [read post]
10 Mar 2015, 6:01 am
Do I need to make an initial capital contribution when I set up my LLC? [read post]
