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5 Jun 2020, 1:52 am by Alan Rosca
Investor Rights Attorneys Investigating The Goldman Scarlato & Penny PC law firm frequently represents investors who lose money as a result of stockbroker misconduct such as, without limitation, unsuitable investment recommendations and material misrepresentations and omissions. [read post]
5 Jun 2020, 1:52 am by Alan Rosca
Investor Rights Attorneys Investigating The Goldman Scarlato & Penny PC law firm frequently represents investors who lose money as a result of stockbroker misconduct such as, without limitation, unsuitable investment recommendations and material misrepresentations and omissions. [read post]
23 Mar 2018, 7:41 am by John Jascob
The plaintiffs were former Fisker investors who claimed that Fisker’s controlling shareholder, venture capital firm Kleiner Perkins Caufield & Byers, committed securities fraud by misleading prospective investors in order to save its investment—and its reputation—with infusions of outside cash. [read post]
7 Oct 2020, 9:13 am by Astarita
The Securities and Exchange Commission today voted to propose a new limited, conditional exemption from broker registration requirements for “finders” who assist issuers with raising capital in private markets from accredited investors. [read post]
12 Jan 2017, 7:20 am by John Jascob
A pair of no-action letters (Michigan Growth Capital Symposium; Citizen VC) and a set of Compliance and Disclosure Interpretations (Securities Act Rules C&DIs) issued by the SEC’s Division of Corporation Finance spurred lawmakers’ worries. [read post]
23 Jan 2014, 2:00 am by assoulineberlowe
The loss of investment capital can be devastating whether one is a sophisticated investor in search of capital appreciation or a retail customer looking for a safe haven for retirement funds. [read post]
27 Aug 2008, 8:29 pm
Recently, the German legislature adopted the Risk Limitation Act (Risikobegrenzungsgesetz, the &;#8220;Act”) aimed at the limitation of perceived risks deriving from financial investors. [read post]
3 Nov 2021, 8:31 pm by Unknown
This vast global liquidity has caught the eyes of non-traditional investors including sovereign wealth funds and limited partners, both of whom are looking to boost returns with direct investments. [read post]
3 Nov 2021, 8:31 pm by Unknown
This vast global liquidity has caught the eyes of non-traditional investors including sovereign wealth funds and limited partners, both of whom are looking to boost returns with direct investments. [read post]
15 Mar 2019, 10:31 am by InvestorLawyers
” Other UBS marketing materials summarize the strategy as follows: Continue reading The post UBS Yield Enhancement Strategy (or “YES”), Marketed as Limited Risk, Delivers Major Losses appeared first on Investor Lawyers Blog. [read post]
16 Sep 2020, 3:09 am by Hedge Fund Lawyer
The effects of the limited tests have prevented many investors from partaking in private capital markets, regardless of their actual financial sophistication. [read post]
22 Apr 2010, 6:08 pm by Steven Caruso
Private placements under Regulation D are usually sold to “accredited” investors and a limited number of non-accredited investors. [read post]
11 Feb 2013, 12:00 pm
The Immigrant Investor Program, commonly known as EB-5, was created by Congress in 1990 to stimulate the U.S. economy through job creation and capital investment by foreign investors. [read post]
12 Mar 2009, 2:46 pm
” Trust Preferred Securities – Overview Trust preferred securities are securities that are treated as debt for tax purposes, but which count as Tier 1 capital, within limits, for regulatory purposes. [read post]
13 Feb 2023, 7:28 am by Unknown
’”Eli Velasquez, Founder & Managing Partner at Investors of Color Network, responding to questions posed by Rep. [read post]
21 Apr 2014, 9:40 am by Casey W. Riggs
Founders should be aware that venture capital investors may expect the term sheet to include redemption rights. [read post]
14 Jul 2018, 5:17 am by Arina Shulga
Among other requirements of Regulation D, companies are limited to selling their securities only to the “accredited investors” (with some exceptions). [read post]
5 Oct 2011, 2:26 am by Hedge Fund Lawyer
Hedge Fund Seeder & Capital Alternative Although industry assets are at record levels, start-up and emerging hedge fund managers are finding it extremely difficult to raise capital. [read post]