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Eric Weschke And Kalos Capital Subject Of FINRA Arbitration Claim For Selling GPB Capital
12 Feb 2020, 1:43 pm by Silver Law Group
Silver Law Group has filed a FINRA arbitration claim against Kalos Capital, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Will Bad Funds Make Good Law?: Janus v. First Derivative Traders Part IV
12 Jan 2011, 8:00 am by Jennifer S. Taub
For example, in 2004 Janus Capital Management LLC (“JCM”), a wholly-owned subsidiary of Janus Capital Group, Inc. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Sun Capital Court Finds that Common Industry Practices Exposed PE Funds to Pension Plan Liabilities
14 Apr 2016, 11:22 am by Susan P. Serota, Peter J. Hunt and Matthew C. Ryan
(SBI) was acquired by three investment funds linked to the Sun Capital Partners Inc. group for approximately $7.8M ($3M invested by the funds and $4.8M funded by debt). [read post]
Investment Fund Law Blog - http://www.investmentfundlawblog.com/
SEC Settles Charges With 13 Private Fund Advisers for Repeatedly Neglecting to Satisfy Filing Requirements
28 Jun 2018, 11:49 am by Elizabeth Dalziel
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
RIA Compliance Blog - http://www.riacomplianceblog.com/
Hedge funds and patents
21 Mar 2015, 6:26 am by Lawrence B. Ebert
(“Credes”), Hayman Capital Master Fund, L.P. [read post]
IPBiz - http://ipbiz.blogspot.com/
SEC Rejects Proposed Settlement with Harbinger Capital and Its Manager
7 Aug 2013, 6:30 am by Noam Noked, co-editor, HLS Forum on Corporate Governance and Financial Regulation,
In a regulatory filing made on July 19, 2013, Harbinger Group, Inc. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Supreme Court Holds That Mutual Fund Investment Adviser Is Not Liable For Statements By the Mutual Fund In The Fund's Prospectus
13 Jun 2011, 11:05 am by William McGrath
Janus Capital Group, Inc. v. [read post]
Federal Securities Law Blog - http://www.fedseclaw.com/
U.S. Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation
25 Mar 2021, 1:04 pm by jeffreynewmanadmin
Softbank is the world’s largest technology-focused venture capital fund, and  has a particular interest in ride-hailing companies. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Former Sterne Agee Broker Faces Expulsion For Running Undisclosed Hedge Fund
15 Jul 2014, 6:30 am
Mustaphalli founded the hedge fund, Mustaphalli Capital Partners, and solicited money for the fund from at least 25 investors during 2011. [read post]
Financial Counsel - http://financialcounselblog.com
Supreme Court Rules Fund Adviser Not Liable for Any Misstatements in Fund Prospectus; Strongly Reaffirms Central Bank
13 Jun 2011, 7:26 am by James Hamilton
Janus Capital Group, Inc. v. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Former Brokerage Account Vice President Pleads Guilty To Conspiring With Hedge Fund Operator And Founder Of Capital Management Group To Bilk At Least $2.5 Million From Over 40 Investors
7 Mar 2007, 6:55 am
Attorney's Office says that Justin Paperny, a former account vice president at UBS Financial Services, Inc., has pleaded guilty to helping Capital Management Group founder Keith Gilabert bilk at least $2.5 million from investors. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Will Bad Funds Make Good Law?: Janus v. First Derivative Traders Part II
11 Jan 2011, 8:00 am by Jennifer S. Taub
According to the 4th Circuit, Petitioners Janus Capital Group, Inc. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Hedge Fund Canarsie Capital Losses 99.7% of Client’s Money Leading to SEC Investigation
10 Oct 2015, 5:24 am by Adam Weinstein
The claims against him relate to $63.8 million in illicit profit from 2003 to 2009 by trading in stocks such as eBay Inc, Goldman Sachs Group Inc and Google Inc. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Geneos Wealth Sanctioned for Rules Violations for LJM Funds & GPB Capital Funds
21 Mar 2022, 11:09 am by The White Law Group
       »   The post Geneos Wealth Sanctioned for Rules Violations for LJM Funds & GPB Capital Funds appeared first on The White Law Group. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities America Inc. Overview  
16 Aug 2023, 9:04 am by The White Law Group
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
NexPoint Capital BDC Suspends Distributions
4 Jun 2020, 7:57 am by Renae Lloyd
NexPoint Capital, Inc. is a business development company specializing in medium-sized businesses in the healthcare sector, according to Bloomberg. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Peregrine Financial Group charged with fraud
23 Jul 2012, 2:35 pm
Peregrine Financial Group, Inc. [read post]
Chicago Securities Lawyer Blog - http://www.chicagosecuritieslawyerblog.com/
JER Investors Trust Inc. Files Chapter 11 Bankruptcy 
2 Jan 2024, 1:33 pm by The White Law Group
Mortgage REIT JER Investors Trust Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Eccleston Law Launches Investigation of Chicago Hedge Fund Manager Charged with Fraud
25 Jan 2011, 3:40 pm by JEccleston@ecclestonlaw.com (James J. Eccleston)
Brandolino operated several entities including Lloyd Lewis Capital Inc., Falcon Trading Group Inc. and Falcon Capital Partners LLC. [read post]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/
Time is Money: Second Circuit Vacates SEC’s $38 Million Fine Against Hedge Fund Pentagon Capital Management
13 Aug 2013, 9:00 am by Kristen Bartlett
Citing the Supreme Court’s 2011 decision in Janus Capital Group, Inc. v. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/