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2 Jan 2024, 11:26 am
This strategy becomes a convenient tool in equity allocation management. [read post]
14 Dec 2023, 6:09 am
She has signaled that other considerations—such as civil rights, labor, the environment, and equity—will also inform policy. [read post]
13 Dec 2023, 2:58 am
Defendant STG Drayage, LLC, now operates the 238 Wilson Avenue facility. [read post]
11 Dec 2023, 9:05 pm
In 2012, Delaware law began to constrain the role of equity. [read post]
11 Dec 2023, 1:18 pm
That means a Virginia corporation, LLC, or LP is a Reporting Company under the CTA, but a Virginia general partnership is not. [read post]
7 Dec 2023, 8:54 pm
A settlement agreement between OSI/Fleming’s LLC, which owns and operates the Fleming’s Prime Steakhouse & Wine Bar (“Fleming’s”) restaurant in Sandestin, Florida and the Justice Department announced December 7, 2023 resolves the department’s determination that Fleming’s violated the Immigration and Nationality Act (INA) by discriminating against a lawful permanent resident when checking whether he had ongoing permission to work. [read post]
1 Dec 2023, 10:00 am
The post New Compliance Requirement – Beneficial Ownership Interest Reporting appeared first on Rubric Legal LLC. [read post]
28 Nov 2023, 1:52 pm
He also allegedly put more than $1 million of his client’s money toward a home equity line of credit tied to his personal residence. [read post]
23 Nov 2023, 10:41 am
” Pro Sapiens LLC v. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
15 Nov 2023, 6:26 am
The SEC settled charges against registered investment adviser D. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
9 Nov 2023, 9:01 pm
For example, foreign investment advisers have faced numerous hurdles in registering with the SEC, the pending move to T+1 settlement in the equity markets raises potential mismatches with foreign jurisdictions that will need to be resolved, and some of the SEC’s shortened filing deadlines may present challenges for those in foreign time zones. [read post]
8 Nov 2023, 5:46 am
The claim further alleges that Center Street Securities unsuitably invested its client in high-risk alternative investments including the following: ICAP Equity Income Fund (ETF) E2C ESA Bond 1, LLCMCG Preferred Opportunity Fund, LLC The claim seeks damages of $100,000.01 and $300,000. [read post]
6 Nov 2023, 1:55 pm
The claim further alleges that Ages Financial Services LTD unsuitably invested its clients in high-risk alternative investments, iCap Equity, LLC and GWG L bonds. [read post]
17 Oct 2023, 2:39 am
In this case, the sales commissions were estimated at 9%, according to the Form D. [read post]
11 Oct 2023, 11:17 am
In Feds for Medical Freedom, the Biden administration argues that Munsingwear vacatur fundamentally turns on equity, and “[n]o principle of equity would support requiring the President to maintain the vaccination requirement, despite his determination that it is now unnecessary, merely to preserve the opportunity to ask this Court to review the Fifth Circuit’s erroneous decision. [read post]
10 Oct 2023, 9:01 pm
Further duplication without permission is prohibited, contact 877-257-3382 or reprints@alm.com Samuel Estreicher is the Dwight D. [read post]
3 Oct 2023, 9:01 pm
In July and August 2023, the SEC filed 84 actions and the CFTC filed 16, against a combined total of 176 defendants and respondents. [read post]
22 Sep 2023, 11:18 am
Contact us Noard Has Been a Registered Broker Since 1989 According to his Brokercheck, Jeffrey Noard has been registered as a broker and investment adviser with Emerson Equity LLC, located in Menomonee Falls, Wisconsin, since 2020. [read post]
