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11 Mar 2024, 5:00 am
” Sources: SEC Charges Connecticut-Based Investment Adviser 3D/L Capital Management, LLC, with Failing to Fully and Fairly Disclose Conflicts of Interest, Orders It to Pay Harmed Clients Order – 3D/L Capital Management, LLC The SEC Continues its Attack on the Word “May” “May” Can Be a Failure to Disclose The One That “May” Pay Commissions “May” May Not Be Adequate Disclosure [read post]
26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
26 Feb 2024, 3:54 am
The complaint otherwise failed to state a cause of action for breach of contract or violation of Judiciary Law § 487 (1) (see generally Second Source Funding, LLC v Yellowstone Capital, LLC, 144 AD3d 445, 445-446 [1st Dept 2016]; Brookwood Cos., Inc. v Alston & Bird LLP, 146 AD3d 662, 669 [1st Dept 2017]; Facebook, Inc. v DLA Piper LLP [US], 134 AD3d 610, 615 [1st Dept 2015], lv denied 28 NY3d 903 [2016]; CPLR 3211 [a] [7]). [read post]
23 Feb 2024, 6:00 am
Paze is an upcoming digital wallet from Early Warning Services LLC. [read post]
21 Feb 2024, 9:06 am
He actually had a negative capital account. [read post]
13 Feb 2024, 8:44 am
This includes corporations, LLCs, and most limited liability partnerships. [read post]
6 Feb 2024, 1:36 pm
Dodd also represents investors, including venture capital funds and other private investors, with their investments in their portfolio companies. [read post]
1 Feb 2024, 6:48 am
Big Thicket Coin, LLC [read post]
31 Jan 2024, 9:01 pm
The ramifications of this decision could be significant, as the SEC often uses its in-house courts to seek monetary penalties, and studies reveal that the SEC wins cases it brings in its in-house courts at a much higher rate than those it tries in federal court.[6] We also should expect plaintiffs to attempt to maneuver in light of the Supreme Court’s decision in Slack Technologies LLC v. [read post]
25 Jan 2024, 6:06 pm
In contrast, alternative investments, including non-traded business development companies and interval funds, outpaced non-traded REITs, raising over $35 billion in 2023. [read post]
25 Jan 2024, 12:25 pm
The lawsuits reportedly allege that Willy advised clients to invest their retirement funds in risky and unregistered securities issued by Ferrum Capital LLC, a Lubbock-based company. [read post]
19 Jan 2024, 7:37 am
(CRD#:18456), Wauwatosa, WI, B, 06/12/2014 – 12/23/2019, QUEST CAPITAL STRATEGIES, INC. [read post]
18 Jan 2024, 8:35 am
But because the news media is failing (accelerated by vulture funds like Alden Capital) and everyone is techlashing, this policy approach has gotten way more consideration than it deserves. [read post]
10 Jan 2024, 6:32 am
CG Oncology, which is backed by ORI Capital, Decheng Capital, Longitude Venture Partners, and others, is developing a treatment for bladder cancer. [read post]
8 Jan 2024, 4:55 am
Capital, LLC, 143 AD3d 971 [2d Dept 2016]). [read post]
5 Jan 2024, 1:41 pm
Integrity Funds Distributor, Inc. [read post]
5 Jan 2024, 7:03 am
The SEC has filed a complaint against property developer Rishi Kapoor, his companies Location Ventures, LLC (LV), URBIN, LLC (URBIN) and multiple subsidiaries in relation to a $93 million fraud. [read post]
3 Jan 2024, 1:36 pm
Real Estate Investment Trusts (REITs), unlike conventional corporations, fund projects using investors’ funds and distribute profits as dividends, often resulting in tax-exempt operations. [read post]
2 Jan 2024, 11:26 am
What is Option Trading? [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
