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11 Dec 2018, 9:53 am
See Fidelity Brokerage Services, LLC, Rel. [read post]
7 Dec 2018, 4:05 am
Richard Kalikow and Jonathan Kalikow (collectively, “Lenders”), who were the principals of Gamma Funding, LLC. [read post]
30 Nov 2018, 4:34 am
Cf Arbor Realty Funding, LLC v. [read post]
29 Nov 2018, 11:58 am
TERI was used by the First Marblehead Corporation, the architect of the National Collegiate Student Loan behemoth, to make the loans more palatable to investors upon securitization because TERI would hold investors harmless by purchasing defaulted loans and paying full value on them, i.e. principal and accrued interest. [read post]
27 Nov 2018, 5:37 am
In addition, the commission found that rather than tell those customers the truth about their dwindling funds, Schmidt sent them fake account statements and falsely assured the customers that their investment returns could fund their withdrawals without jeopardizing their principal. [read post]
6 Nov 2018, 11:51 am
As the IMF loan was being negotiated, Bloomberg reported on 24 September 2018 that BlackRock Inc., Carval Investors LLC and other funds that specialize in distressed debt were interested in opportunities to finance Argentine companies, particularly where traditional bank lending may be more difficult to come by following the “notebooks scandal“. [read post]
5 Nov 2018, 3:32 pm
The principal amount of the loan including a prepaid finance charge was $19,398.91, which funds were disbursed to Student pursuant to the contract on November 9, 2006. [read post]
31 Oct 2018, 2:20 pm
Sheikh, Venable LLP, ro hac vice.Waterfall Eden Master Fund, Ltd., Intervenor, represented by Andrew Dieter Cordo, Ashby & Geddes, Michael Hanin, Kasowitz Benson Torres LLP, pro hac vice & Uri Itkin, Kasowitz Benson Torres LLP, pro hac vice.Waterfall Delta Offshore Master Fund, LP, Waterfall Sandstone Fund, LP., Baldr Sherwood Fund, Inc., One William Street Capital Master Fund, Ltd., OWS ABS Master Fund II, L.P., OWS COF I Master, L.P.,… [read post]
11 Oct 2018, 5:03 pm
These clients were allegedly told that they could keep taking out money and that their principal would not be harmed. [read post]
4 Oct 2018, 3:00 am
In another similar case, DJO, LLC v. [read post]
30 Sep 2018, 5:16 pm
The SEC principally enforces this anti-fraud provision under Rule 10b-5, which specifically states: Section 240.10b-5 Employment of manipulative and deceptive devices. [read post]
25 Sep 2018, 8:26 am
In that case, the Operating Agreement should specify where the funds for the redemption will come from. [read post]
24 Sep 2018, 6:24 am
When advisors convert or misappropriate funds they often created businesses or other vehicles to serve as a cover for the theft of funds. [read post]
24 Sep 2018, 2:31 am
Patrick then added to the growing menagerie of pending litigations with his family by filing for judicial dissolution of the two LLCs, principally contending that his siblings were unwilling or unable to permit the LLCs’ “stated purpose” to be achieved and that, instead, they were using the LLCs “as a weapon to exert pressure on and oppress a minority owner. [read post]
23 Sep 2018, 9:50 am
The checks, predictably, were returned for insufficient funds. [read post]
21 Sep 2018, 3:25 pm
When advisors convert or misappropriate funds they often created businesses or other vehicles to serve as a cover for the theft of funds. [read post]
18 Sep 2018, 6:00 am
Sources: In the Matter of VSS Fund Management LLC, Adm. [read post]
17 Sep 2018, 6:10 am
For example, if a member fails to meet their financial obligations, it is fairly common for these agreements to provide that the other members of the LLC may contribute the missing funds and treat them as a loan to the non-funding member. [read post]
12 Sep 2018, 7:29 am
The SEC has filed fraud charges against hedge fund adviser Gregory Lemelson and his Massachusetts based investment advisory firm Lemelson Capital Management LLC. [read post]
1 Sep 2018, 9:28 am
Cleveland responded with a counterclaim against SGB, and a third-party claim against SGB's principal, appellant Sam Seidel. [read post]
