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31 Dec 2010, 8:41 pm
The complaint also alleges that Saleh engaged in a pattern of withdrawing funds from annuities primarily to raise cash, with which she generated production credits and applied the proceeds to purchase of Closed-End Funds, Unit Investment Trusts, and mutual funds or reverse convertibles and then engaged in unsuitable excessive and short-term trading, causing the customer to incur cost with no substantial benefit for their portfolios. [read post]
30 Dec 2010, 1:29 pm
New York AG Cuomo today announced an agreement with Steven Rattner, former founding principal of private equity firm Quadrangle Group, LLC (“Quadrangle”) in the Attorney General’s public pension fund investigation. [read post]
28 Dec 2010, 10:41 am
In September, new concerns about the suitability of leveraged, inverse exchange-traded funds (ETFs) for individual investors began to crop up. [read post]
21 Dec 2010, 8:20 am
Outsource Services Management, LLC v. [read post]
20 Dec 2010, 9:45 am
These increases build on over $250 million in American Reinvestment and Recovery Act (Recovery Act) funds made available to tribes in FY 2009 to address criminal justice needs.In addition, on July 29, 2010, President Obama signed into law the Tribal Law and Order Act (TLOA). [read post]
7 Dec 2010, 6:42 am
One lawsuit was filed against Principal Reduction Group, LLC, of Scottsdale, and its owner, Brian Cutright. [read post]
3 Dec 2010, 5:37 am
Together the two ran Boston Trading and Research, LLC (BTR). [read post]
22 Nov 2010, 10:05 am
SEC Issues Interpretive Letter on Duties of Mutual Fund Directors The SEC has issued an interpretive letter on the duties of mutual fund directors under the Investment Company Act that should help fund boards reduce the volume of quarterly review materials for their directors by relying on summary quarterly reports prepared by the fund’s chief compliance officer or other designated persons. [read post]
22 Nov 2010, 5:00 am
Distribution by private foundation to disregarded LLC to accomplish charitable purposes, where sole member of LLC is public charity that is not controlled by foundation is qualifying distribution. [read post]
21 Nov 2010, 5:10 pm
Thus, paying the $500 administrative fee to join the special needs pooled trust was an appropriate expenditure of trust funds. [read post]
19 Nov 2010, 7:58 am
Doug is a construction attorney, LEED AP and the principal at Reiser Legal LLC in Seattle, WA. [read post]
15 Nov 2010, 3:51 pm
Interestingly, the principals of Ashley are Cherokee Investment Partners which is a large investment fund that has dedicated $1 billion dollars to the acquisition of Brownfields properties. [read post]
7 Nov 2010, 2:29 pm
The court said this creditor right gave rise to the trust fund doctrine, and in turn to the creditor derivative action. [read post]
7 Nov 2010, 5:46 am
Brief Summary of Decision CML V, LLC ("CML") lent funds to JetDirect Aviation Holdings LLC. [read post]
4 Nov 2010, 5:00 am
On the other hand, if the LLC is manager-managed, then members are may be just passive investors, and their LLC interests are more likely to be securities. [read post]
3 Nov 2010, 1:06 pm
When a TIPS matures, you are paid the adjusted principal or original principal, whichever is greater. [read post]
3 Nov 2010, 12:23 pm
QGP was the general partner of Questor Partners Fund, L.P. which invested in struggling companies. each principal signed an agreement which contained a "clawback provision" where the pricipals would pay a portion of their distributions if there was a subsequent shortfall. [read post]
2 Nov 2010, 5:46 pm
SECRETARY, DEPARTMENT OF CORRECTIONS, FLORIDA ATTORNEY GENERAL, Respondents-Appellees. 11th Circuit.Criminal law -- Medicare fraud -- Conspiracy to defraud United States, to cause submission of false claims, and to pay health care kickbacks -- Conspiracy to commit health care fraud -- Evidence -- Trial court improperly excluded, as hearsay, videotape which arguably showed coconspirators assuring defendant that there was no fraudulent scheme at clinic which employed defendant and which was… [read post]
1 Nov 2010, 1:26 pm
FRBNY Maiden Lane II LLC (Outstanding Principal on FRBNY Loan) 13.5 The fair value of the assets supporting Maiden Lane II is $16.5 billion. [read post]
28 Oct 2010, 9:33 am
Jeanneret Associates Inc., Andover Associates Management Corp. and their respective principals. [read post]
