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27 Dec 2011, 4:26 pm
That means that more often than not the principals have some existing relationship before they take up their new business together. [read post]
23 Dec 2011, 9:38 am
Polozola in 2001 was a financial and operations principal with E*Trade Professional Trading LLC. [read post]
18 Dec 2011, 10:51 am
However, rather than use investor funds for their stated purpose, investments were almost immediately diverted to one of several collecting accounts, where funds were commingled with other investor funds. [read post]
15 Dec 2011, 6:47 pm
Handler, Thayer & Duggan, LLC, 613 F. [read post]
15 Dec 2011, 11:29 am
Knoedler Gallery, LLC, 11-cv-8757 (S.D.N.Y.) [read post]
15 Dec 2011, 11:29 am
Knoedler Gallery, LLC, 11-cv-8757 (S.D.N.Y.) [read post]
15 Dec 2011, 11:29 am
Knoedler Gallery, LLC, 11-cv-8757 (S.D.N.Y.) [read post]
14 Dec 2011, 6:47 pm
In 1999, Hauke formed a hedge fund, Samex Capital Partners LLC ("Samex"), in which he acted as chief executive officer. [read post]
13 Dec 2011, 1:39 pm
Malarz personally guaranteed the principal and interest payments to investors. [read post]
7 Dec 2011, 5:45 am
ThinkStrategy also faked a management team, listing several individuals as principals or directors who had no affiliation with the firm. [read post]
6 Dec 2011, 12:04 am
Cambridge Home Capital, LLC ("Cambridge"), Seth Kramer and Craig Hyman, two principals of the lender; Seth Lapidus and Jacqueline Derrell, two former managers at the company; and Cambridge Funding Group, LTD., an affiliated business, have settled a civil lawsuit concerning claims of mortgage fraud. [read post]
1 Dec 2011, 10:43 am
., Provident Royalties LLC, and DBSI Inc., all of which eventually failed, leading to sizeable investor losses. [read post]
29 Nov 2011, 6:29 pm
Through his position at NES, Wegener encouraged investors to withdraw funds from their brokerage accounts and represented to investors that he would invest their funds through several companies he owned and operated, including Wealth Resources, Inc. and Wealth Resources, LLC (collectively, "Wealth Resources"). [read post]
29 Nov 2011, 5:52 pm
., ("Weston Rutledge"), Zamindari Capital, LLC ("Zamindari"), Lexington International Fund ("Lexington"), and Oxford Adams Capital, LLC ("Oxford Adams"). [read post]
29 Nov 2011, 3:29 pm
Paris II, former President and Chief Executive Officer for the now-defunct Meadowbrook Securities, LLC (fka Investlinc Securities, LLC), of Jackson, MS, was suspended for six months in any principal capacity and fined $10,000 in connection with the sale of two Provident Royalties private placements and a Medical Capital private placement. [read post]
29 Nov 2011, 9:42 am
Ex-principal Brian W. [read post]
22 Nov 2011, 7:20 pm
Shortly after, in early 2011, Gilliams filed documents with the Commission indicating his intent to raise an indefinite amount of funds for Black Box Funds, LLC. [read post]
21 Nov 2011, 10:30 pm
Zwirn Special Opportunities Fund, L.P. v. [read post]
21 Nov 2011, 2:59 am
King on federal charges of embezzling millions from the funds as the principal behind administrator King Care LLC. [read post]
17 Nov 2011, 6:17 pm
Instead, Lewalski used the majority of investor funds to operate a Ponzi scheme, paying roughly $15 million to investors in the form of principal and interest payments. [read post]
