Search for: "Principal Funding LLC"
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9 Nov 2013, 12:11 pm
All American Team Concepts, LLC, 2013 WL 2359108 (Fla. 5th DCA May 31, 2013) (citing Miller v. [read post]
4 Nov 2013, 5:33 am
Assuming the SEC’s complaint is true, the fund was selling 10-year notes paying 6% per year with a bonus payment of 45% of the outstanding principal at maturity. [read post]
31 Oct 2013, 8:04 am
Based on allegations that Provident had commingled assets and investor funds, the Securities and Exchange Commission obtained a Temporary Restraining Order against Provident Royalties, LLC in July 2009. [read post]
30 Oct 2013, 8:00 am
She raised objections to the financial reporting practices of FMR, LLC, a Fidelity mutual fund advisor. [read post]
10 Oct 2013, 7:11 am
In the complaint, FINRA alleges JCI engaged in: stock manipulation, unsuitable self-offerings of securities, operating a securities business without sufficient net capital, use of firm funds to pay the expenses of principal officers at JCI, providing false tax documents, and failing to pay payroll taxes. [read post]
9 Oct 2013, 6:45 am
Distributions from closed-end funds can at times be nothing more than a return of your own principal. [read post]
7 Oct 2013, 5:56 pm
Alvarez De Lugo’s three companies, Arquin Decoraciones LLC, Arquin Development LLC, and Juko Investments, LLC, and the investment instruments he provided, were never registered with the Securities and Exchange Commission or Connecticut Department of Banking. [read post]
3 Oct 2013, 4:21 pm
The Commodities Futures Trading Commission (CFTC) filed a lawsuit against two California firms, TOTE Fund LLC (TOTE) and MJS Capital Management LLC (MJS), and their principal Michael J. [read post]
2 Oct 2013, 3:45 pm
These charges include stock manipulation, unsuitable self-offerings of securities, and use of Firm funds to pay personal expenses of Firm principals, among others. [read post]
29 Sep 2013, 6:11 pm
From approximately 2002 through early 2013, Gist was CEO and president ENCAP Technologies, LLC (ENCAP), a company with its principal place of business in Roswell, Georgia. [read post]
23 Sep 2013, 12:21 pm
Alternative investments sold by VSR include: Atlas Resources Public 18-20 oil and gas, Behringer REIT, CB Richard Ellis Realty Trust, CNL Income, 2nd Offering, Cole Credit Property Trust, ICON 11, Inland American, SBS REIT, Odyssey Diversified, Arciterra Note Fund, MPF Income Fund 22 LLC, DBSI 2008 Notes Corporation, APC 2005-B, Black Diamond Energy, Inc., Waveland Capital. [read post]
19 Sep 2013, 4:46 pm
Research failed to maintain a WSPs that enforced adequate supervision regarding due diligence related to these hedge funds and funds of hedge funds. [read post]
19 Sep 2013, 9:20 am
September 18, 2013 The Securities and Exchange Commission (SEC) charged Shadron Stastney, a partner at a New York based hedge fund, Vicis Capital, LLC with breaching his fiduciary duties by engaging in undisclosed principal transactions in which he had a personal financial interest. [read post]
22 Jul 2013, 4:01 pm
Guaranty Carve-Outs As almost all lawyers who represent closely-held entities know, lenders to a limited liability entity (such as a corporation or LLC) will typically require the entity’s principals to sign a personal guaranty of the entity’s obligation to the lender. [read post]
22 Jul 2013, 5:00 am
I suppose that if Bernie Madoff set up Scumbag Bernie Investor LLC to invest in the fund that would be a mere facade to hide his ownership. [read post]
2 Jul 2013, 2:53 pm
In Apollo Capital Fund LLC v. [read post]
27 Jun 2013, 9:35 pm
From one side, you have the victims of the scandal, that lost all or part of the money they “invested” in the Madoff Investment Securities, LLC group of hedge funds. [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]
20 Jun 2013, 6:44 am
FXDirectDealer, LLC, --- F.3d ----, 2013 WL 3021904 (2d Cir.) [read post]
4 Jun 2013, 7:48 am
FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
