Search for: "Investment Management Company LLC"
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19 Jul 2013, 6:00 am
The SEC announced the schedule for its upcoming Compliance Outreach Program regional seminars in several cities around the country for investment adviser and investment company senior officers, including chief compliance officers (CCOs).The SEC's Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and Division of Enforcement's Asset Management Unit are jointly sponsoring the regional seminars for… [read post]
15 Jul 2014, 4:28 pm
A Montana LLC owns an apartment building in Montana that is managed by an on-site (Montana) property manager. [read post]
15 Jul 2014, 4:29 pm
A Montana LLC owns an apartment building in Montana that is managed by an on-site (Montana) property manager. [read post]
4 Sep 2015, 9:32 am
Last month, the Securities and Exchange Commission (SEC) announced that registered investment adviser Guggenheim Partners Investment Management, LLC had consented to settle charges that it breached its fiduciary duty to its clients in connection with a $50 million loan made by a client to one of Guggenheim's senior executives. [read post]
27 Jan 2020, 2:39 am
Members can decide whether the company will be managed by the members themselves or by one or more managers (who may or may not be members). [read post]
26 Apr 2022, 8:50 am
Often companies seeking outside investment, for example, private equity deals, prefer to give management as much freedom as possible. [read post]
23 Jun 2010, 1:36 pm
The SEC has filed a civil suit against Trade-LLC, a Palm Beach Gardens investment advisor, and its managing members, Philip Milton (also of Palm Beach Gardens) and William Center. [read post]
12 Apr 2019, 6:17 pm
In the recent decision of CelestialRX Investments, LLC v. [read post]
17 Feb 2016, 6:54 pm
With this context, the Court is unwilling to deprive an LLC holding company’s manager of books and records of the company’s wholly-owned operating entities…. [read post]
15 Nov 2013, 5:24 pm
In this order (summary below), the SEC permits the manager to receive fees based on the facts of situation: An order has been issued on an application filed by Davidson Kempner Capital Management LLC (“DKCM”) under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) thereunder. [read post]
10 May 2024, 7:16 am
Firstly, the Illinois Limited Liability Company Act (805 ILCS 180/15-3) specifies that a member of a manager-managed LLC does not owe a fiduciary duty to the LLC unless they are a manager under the terms of the operating agreement (Katris v. [read post]
14 Apr 2020, 10:04 am
SQN Capital Management (SQN) is an international finance company and a multinational alternative investment manager specializing in collateralised, non-correlated, income-producing investments, according to its website. [read post]
18 Sep 2019, 9:01 am
The LLC is popular choice when it comes to company formations, but business owners often have one very important question: How is an LLC taxed? [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly engaged in violation of United States Securities Law, breach of fiduciary duty, fraudulent and unregistered securities offering and making material misrepresentations to investors who they solicited to invest in Kinetic Funds I LLC, a purported hedge fund they managed. [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly engaged in violation of United States Securities Law, breach of fiduciary duty, fraudulent and unregistered securities offering and making material misrepresentations to investors who they solicited to invest in Kinetic Funds I LLC, a purported hedge fund they managed. [read post]
17 Dec 2017, 9:07 am
FINRA found that Guttman participated in the sales of these membership interests by soliciting the membership interests to investors; communicating with investors about their investments; drafting, distributing, and collecting the investment agreements; collecting and depositing investors’ checks into the companies’ bank accounts; and managing the companies as one of only two managing members. [read post]
26 Mar 2019, 6:35 am
This week, the Securities and Exchange Commission (SEC) charged registered investment advisor Direct Lending Investments LLC with a fraud spanning multiple years that caused an $11 million over charge of management and performance fees to its private funds https://www.sec.gov/litigation/litreleases/2019/lr24432.htm. [read post]
4 May 2007, 9:28 am
Geoffrey Brod, a former Aeltus Investment Management LLC portfolio manager has been charged by the SEC with concealing personal stock trades held by mutual funds that he was overseeing. [read post]
23 Jun 2017, 10:00 am
For example, if it began as an LLC and the owner now plans on seeking angel investment, he/she may consider converting to a corporation. [read post]
28 Jul 2020, 7:57 am
The investor’s claims arise out of recommendations to invest in GPB Automotive Portfolio, LP, a private placement managed by GPB Capital Holdings, LLC. [read post]
