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21 Apr 2022, 10:41 am
On April 20, 2022 GWG Holdings Inc. and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
16 Feb 2022, 8:29 am
In a single member LLC, its single member is most often the manager. [read post]
20 Jun 2011, 10:44 am
s parent company, Erickson Retirement Communities LLC, has been in financial straits since 2009, when it, too, made a filing under Chapter 11 of the US Bankruptcy Code. [read post]
9 Feb 2021, 7:53 am
After learning of the comingling, the son asked his father for the LLC’s financial records. [read post]
25 Apr 2018, 12:37 pm
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL Financial LLC (CRD #6413, Boston, Massachusetts) was issued an AWC in which the firm was censured and fined $375,000. [read post]
5 Jul 2022, 5:30 am
Creating a Family LLC for estate planning purposes is complex and requires legal expertise from an Estate Planning Attorney and a financial advisor before formalizing your LLC plan. [read post]
3 Sep 2023, 8:40 am
FINRA has announced on its website that it has barred Tennessee financial advisor D. [read post]
2 May 2016, 3:09 am
” Essentially, plaintiff contended that the defendants unjustifiably refused his request to allow him to obtain a $1 million loan secured by plaintiff’s interest in the LLC and its realty to meet his financial needs occasioned by his impending retirement and his wife’s medical expenses. [read post]
29 Nov 2011, 6:00 am
(Next) submitted a Letter of Acceptance, Waiver and Consent (AWC) to settle claims by the Financial Industry Regulatory Authority (FINRA) that Next's due diligence was lacking in connection with its sale of more than $20 million of Provident Royalties, LLC private placements. [read post]
26 May 2021, 1:26 pm
First Landing, a “feeder fund” managed by Virginia-based Vantage Consulting Group, invested all of its capital with Prophecy Asset Management, which is facing serious financial issues and allegations of serious misconduct. [read post]
23 Nov 2009, 1:20 pm
FINRA fined Terra Nova Financial, LLC, of Chicago, $400,000 for making more than $1 million in improper soft dollar payments to or on behalf of five hedge fund managers, without following its own policies to ensure the payments were proper.... [read post]
4 Feb 2020, 12:21 pm
In a single member LLC, the LLC commonly is managed by its single member. [read post]
17 May 2023, 5:25 pm
The post Zamansky LLC Investigates Lighthouse Capital Group LLC Over Potential Investment Fraud In Sales of Regulation D, REIT and DST Offerings appeared first on Zamansky LLC. [read post]
8 Mar 2021, 4:30 am
Maintaining an LLC LLC’s have a low required minimum capital contribution of $1,000 by its member(s). [read post]
2 Jul 2020, 7:35 am
Senior Investors Lose Money in Risky Structured Product Tied To Price of Oil An elderly retiree couple has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial, LLC and its broker, Bret Alexander Hartman, to recover losses they sustained in a structured product tied to the price of oil. [read post]
19 Oct 2023, 12:28 pm
Did You Invest In Nanban Ventures, LLC, Or One Of Its Subsidiaries? [read post]
14 Sep 2018, 1:50 pm
In a single member LLC, the LLC commonly is managed by its single member. [read post]
1 Aug 2013, 10:05 am
Our client paid nothing to Equable Ascent Financial or its law firm, Hayt, Hayt & Landau. [read post]
14 Sep 2020, 12:37 pm
Morgan and its financial advisor and lost millions of dollars. [read post]
22 Feb 2024, 10:00 am
These risks can take a financial toll through lawsuits or bankruptcy. [read post]
