Search for: "Equity Funding LLC "
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13 Dec 2006, 3:11 am
The firm contended that its qualification standards would be consistent with the Division's intent for this exemption because the solicitation for investment in the types of products it would offer, including hedge funds and emerging markets private equity, would be limited to institutional buyers. [read post]
23 Aug 2015, 9:31 pm
Funding your company with equity means that you are offering shares or interests of the business in exchange for cash. [read post]
15 Apr 2010, 11:04 am
Steven Byers, former President and Chief Executive Officer of WexTrust Capital, LLC private equity firm, pleaded guilty in New York City Federal Court to one felony count of Conspiracy to commit Securities Fraud and one felony count of Securities Fraud. [read post]
2 May 2015, 12:00 pm
W2007 Grace, which is indirectly owned by one or more private equity funds affiliated with The Goldman Sachs Group Inc., has agreed to pay $640,000 to settle the SEC’s charges relating to eight missed filings. [read post]
9 Nov 2022, 11:31 am
The fund invests in equity and junior tranches of collateralized loan obligations (“CLOs”), which may be riskier than a direct investment in the underlying companies. [read post]
22 Aug 2017, 6:46 am
In 2010, the Securities and Exchange Commission (“SEC”) filed a complaint against Hicks and his two hedge fund advisers, Southridge Capital Management LLC (“Southridge Capital”) and Southridge Advisors, LLC (“Southridge Advisors”). [read post]
23 Aug 2012, 6:50 am
Its debt far outweighs the fund’s equity. [read post]
1 Nov 2011, 5:05 am
The firm provides a full suite of legal services to the investment management community, including: hedge fund, private equity fund, venture capital fund, mutual fund and UCITS fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
8 Aug 2017, 2:30 pm
However, the by-laws or LLC agreement are private, and not available to the public. [read post]
5 May 2009, 6:55 am
First, the state is terminating its relationship with Aldus Capital, LLC, which had been a manager of a fund, in CRPTF's private equity class, consisting of small and emerging sub-funds managed by others. [read post]
18 Jan 2021, 2:11 am
In early 2015, the first of two private equity firms gave a letter of intent to buy LMEG for a little over $100 million, which Farro refused to sign. [read post]
14 Apr 2015, 4:50 pm
Two days prior to The Wall Street Journal’s report, on March 30, 2015, the SEC’s Enforcement Division commenced public administrative and cease and desist proceedings against private equity investment adviser Lynn Tilton (Tilton), Patriarch Partners, LLC, Patriarch Partners VIII, LLC, Patriarch Partners XIV, LLC and Patriarch Partners XV, LLC (collectively, Patriarch). [read post]
14 Apr 2020, 7:55 am
SQN Venture Partners LLC is reportedly the manager of the SQN Venture Income Fund LP, a Delaware limited partnership which was reportedly formed to make investments in leases and debt securities to emerging technology, venture backed, privately held companies and related equity securities such as warrants. [read post]
5 Jul 2022, 9:00 am
In 2017, the United States sued ERR under the OPA for removal costs it had paid from the Oil Spill Liability Trust Fund (the “Fund”) to Oil Mop LLC, a spill-response service provider. [read post]
28 Mar 2016, 7:35 am
The complaint alleges that Irving Place III SPV LLC is a shell entity formed and controlled by Caspersen with no legitimate business operations, unlike the similarly named Irving Place Capital Partners III SPV, a legitimate private equity fund not associated in any way with Caspersen.In a parallel action, the U.S. [read post]
15 Aug 2009, 10:20 am
To support the acquisition and other growth initiatives, existing investors ABS Capital Partners and CIBC Capital Partners provided the equity financing. [read post]
17 Jan 2011, 8:28 pm
District Court for the Eastern District of Michigan says it won’t be remanding the securities fraud lawsuit accusing UBS Securities LLC and related entities of inducing two Detroit pension plans into taking an equity position in a collateralized loan obligation and then breaching their fiduciary duties through the improper liquidation of the securities. [read post]
20 Jun 2013, 5:01 pm
Seth Beoku Betts, 37, Boynton Beach, Florida, a principal of Betts and Gambles Global Equities, LLC, was arrested on the charge of wire fraud for operating an investment scheme whereby he promised investors funds would be used for the purposes of trading in collateralized mortgage obligations. [read post]
19 Jan 2012, 7:58 am
In addition, Morriss and the management company he controlled allegedly came up with a scheme to recruit new investors to purchase membership interests in one of the private equity funds, MIC VII, LLC. [read post]
18 Jul 2016, 11:47 am
The complaint states that Irving Place III SPV LCC was formed in order to resemble association with the similarly named, legitimate private equity fund Irving Place Capital Partners III SPV, but in reality maintained no relationship or association.In addition, the U.S. [read post]
