Search for: "Efficient Advisors, LLC" Results 21 - 40 of 254
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3 May 2020, 12:33 pm by Staff Attorney
Private placements allow many small companies to efficiently raise capital. [read post]
21 Dec 2022, 7:30 am by The White Law Group
  According to Torrez’s FINRA BrokerCheck Report, a customer filed a complaint on August 23, 2021, alleging Desiderio Torrez “recommended for her to invest into a California LLC name Meso Healthy LLC. [read post]
10 Jan 2017, 6:32 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including Employment Matters, Transition Contract Review, State Licensing and Registration, FINRA Defense, and much more. [read post]
16 Feb 2016, 11:47 am
Most are comfortable with this decision as FINRA already handles about 80% of brokerage exams each year.Karen Barr, the head of the Investment Adviser Association, supported the decision, saying “This is a better, more efficient use of SEC resources to provide effective oversight of the investment advisor industry. [read post]
4 Apr 2019, 4:52 am by Matthew L.M. Fletcher
Supreme Court Bulletin http://www.narf.org/nill/bulletins/sct/2018-2019update.html Petitions for certiorari were filed in these cases: Buchwald Capital Advisors LLC v. [read post]
1 Mar 2010, 3:00 am by Peter A. Mahler
  In 2002, around the same time the company transitioned to employee ownership, Homer and his estate planning advisors formed Gutchess Companies, LLC to hold Homer's shares in the operating company. [read post]
25 Nov 2009, 12:59 am by Randall Reese
Asset Resolution was formed by Silar Advisors, L.P. to take title to assets that served as collateral for a $67 million loan to Compass USA SPE LLC, which was used by Compass to acquire the assets of USA Commercial Mortgage Company ("USACMC") in an earlier bankruptcy case through a section 363 sale. [read post]
30 Aug 2021, 11:18 am by Rob Robinson
Cowen and Company, LLC and Needham & Company, LLC served as non-exclusive lead capital markets advisors to Cellebrite. [read post]
18 Apr 2022, 9:48 am by The White Law Group
   The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
14 Mar 2023, 2:00 am by BLR Staff
The post Ask the Expert: Refusal to Sign Employee Handbook Acknowledgement Form appeared first on HR Daily Advisor. [read post]
25 Oct 2020, 8:47 am
Greene, Fortuna Advisors LLC, and Sharath Sharma, EY, on Sunday, October 25, 2020 Editor's Note: Jeffrey Greene is a senior advisor at Fortuna Advisors and Sharath Sharma is the EY Americas leader for strategic transformations. [read post]
14 May 2019, 8:36 am by Renae Lloyd
Cloud Peak Energy expects its mines will continue normal operations throughout the process, safely and efficiently meeting all customer commitments. [read post]
2 Mar 2012, 1:15 pm by Lucas A. Ferrara, Esq.
JOSEPHSON, Murray & Josephson, CPAs, LLC Speaker: BILL JAWITZ, Law Practice Advisor and Founder, SuccessTrackESQ, LLC Registration by March 5 is necessary. [read post]
17 Jun 2019, 1:29 pm by Rob Robinson
Middlemarch Partners, through its subsidiary Middlemarch Securities, LLC, served as the financial advisor to Elevate in the Kayne Partners transaction. [read post]
20 Dec 2022, 9:11 am by The White Law Group
  FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]