Search for: "INVESTMENT CAPITAL MANAGEMENT, INC." Results 1 - 20 of 2,442
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13 Apr 2021, 11:06 am by Iorio Altamirano
Iorio Altamirano LLP is currently investigating former Axiom Capital Management, Inc. broker Michael Packman, who reportedly recommended that his customers invest in private placement securities issued by GPB Capital. [read post]
1 Sep 2011, 5:55 am by Jay Eng
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
23 Mar 2009, 2:23 pm
The SEC issued anOrder Making Findings and Imposing Remedial Sanctions Pursuant to Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 (Order) against Cornerstone Capital Management, Inc. [read post]
2 Jul 2019, 7:42 am by Staff Attorney
Our firm represents multiple clients who have been recommended GPB Capital Holdings (GPB Capital) related investments. [read post]
28 Apr 2021, 5:33 am by Iorio Altamirano
According to publicly available records, the firm is facing a $1 million customer complaint over a former broker’s recommendations to a client to invest in three GPB Capital funds: GPB Holdings II, GPB Automotive Portfolio, and GPB Waste Management. [read post]
20 Apr 2021, 3:15 pm by Iorio Altamirano
Former Cascade Financial Management, Inc. broker Daniel Alex Cantarovici was the subject of one regulatory disclosure involving GPB Capital funds. [read post]
7 Mar 2018, 1:28 pm by Michael J. Giarrusso
Real estate investment firm MacKenzie Realty Capital (“MacKenzie”) is offering to purchase shares of The Parking REIT, Inc. [read post]
5 Mar 2019, 10:03 am by ccollins
Avere Financial Group, LLC Axiom Capital Management, Inc. [read post]
1 Feb 2023, 7:01 am by The White Law Group
  Mackenzie Capital Management reportedly specializes in discounted real estate securities and asset management, according to its website. [read post]
9 Nov 2019, 8:10 am
Posted by Jackie Cook and Jasmin Sethi, Morningstar, Inc., on Saturday, November 9, 2019 Editor's Note: Jackie Cook is Director of Manager Research and Jasmin Sethi is Associate Director of Policy Research at Morningstar, Inc. [read post]
15 Nov 2023, 5:55 am by Daily Record Staff
Prior to the sale, Day Motor Sports was owned by funds managed by Gen Cap America Inc., a private investment firm headquartered in Nashville, […] The post Matrix Capital Markets Group helps sale of Day Motor Sports appeared first on Maryland Daily Record. [read post]
23 Oct 2017, 6:16 am
Index investing has profoundly changed the way investors seek returns, manage risk, and build portfolios. [read post]
4 Dec 2009, 12:29 pm by Brett Alcala
Medical Capital Holdings On September 18, 2006, a class action lawsuit was filed in the Central District of California against the following brokerage firms Securities America, Inc., Ameriprise Financial, Inc., CapWest Securities, Inc, and Cullum & Burks Securities, Inc on behalf of investors that invested in Medical Capital Notes issued by Medical Provider Financial Corp. [read post]
14 Oct 2014, 1:21 pm by Ray Frager
American Capital Ltd., of Bethesda, a publicly traded private equity firm and asset manager, announced this week that its portfolio company Unwired Holdings Inc. was sold to Delphi Automotive PLC, a supplier of automotive technologies, enabling American Capital to realize a gain of $70 million for its investment. [read post]
22 Mar 2018, 12:43 pm by Andrew Stoltmann
According to an Order Instituting an Administrative Cease and Desist against Horter brought by the Securities and Exchange Commission (SEC) last year, Horter Investment Management was accused of making misstatements to clients concerning F-Squared Investments, Inc. [read post]