Search for: "Portfolio Management & Investigations, LLC"
Results 1 - 20
of 346
Sort by Relevance
|
Sort by Date
22 Apr 2024, 5:00 am
The Case and the Decision After his appointment as City Manager for Port Huron, Michigan, James Freed expanded the use of his “public” Facebook page to post about not only personal matters but also about matters related to his public office. [read post]
29 Jan 2024, 12:00 pm
Morgan Stanley operates under the following names: CITIGROUP INSTITUTIONAL CONSULTING, SMITH BARNEY, PRIVATE PORTFOLIO GROUP, MORGAN STANLEY WEALTH MANAGEMENT, MORGAN STANLEY SMITH BARNEY LLC, GRAYSTONE CONSULTING, CONSULTING GROUP, among others according to its CRD. [read post]
25 Jan 2024, 6:06 pm
Invesco Real Estate: Invesco Commercial Real Estate Finance Trust Investment Focus: Originating, acquiring, and managing a diversified portfolio of loans and debt-like preferred equity interests, primarily for multifamily, industrial, single-family rentals, and self-storage properties in North America. [read post]
16 Jan 2024, 1:19 pm
Nessim is co-founder and CEO, and Stephen Sigrist is a senior vice president, at SAR LLC. [read post]
12 Dec 2023, 11:20 pm
The White Law Group has represented numerous investors in claims against their brokerage firms in connections with their investments in risky GPB Capital offerings, including the following: Armada Waste Management LP (f/k/a GPB Waste Management LP) GPB Holdings II GPB Holdings I GPB Automotive Portfolio GPB Cold Storage GPB NYC Development GPB Holdings Qualified LP GPB Holdings Automotive LLC Private Placement… [read post]
30 Nov 2023, 1:58 pm
” Again, Skrabonja denies the allegations, having left in 2015, and mentions a coworker “to act as a money manager for the portfolio,” who should be involved. [read post]
30 Nov 2023, 9:55 am
In response to the investigation, the firm voluntarily provided restitution to the affected customers. [read post]
21 Nov 2023, 2:26 pm
Diamond (CRD# 2667392, aka, “Arni Jat Diamond”) for four months and fined him $5,000 after its investigation. [read post]
30 Oct 2023, 1:15 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
25 Oct 2023, 12:36 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
20 Oct 2023, 2:40 pm
Rules for all Private Fund Investment Advisers The Restricted Activities Rule restricts advisers from engaging in the following activities unless they are sufficiently disclosed or investor consent is obtained, as applicable: (i) allocating fees and costs from any governmental or regulatory investigation of the adviser to the fund; (ii) allocating regulatory or compliance fees, or fees or expenses associated with an examination, of the adviser to the fund; (iii) reducing carried interest… [read post]
18 Oct 2023, 7:43 am
This form of misconduct occurs when brokers, who are entrusted with managing clients’ portfolios and making investment decisions on their behalf, engage in fraudulent activities to divert funds for personal gain. [read post]
17 Oct 2023, 2:39 am
The fund reportedly acquired a diversified portfolio of eleven multifamily assets aggregating $582 million of acquisition price financed with $412 million of mortgage and other debt. [read post]
25 Sep 2023, 9:03 am
Carey (NYSE:WPC) shares took a hit on September 21st after management announced that the company will be ditching its entire office portfolio. [read post]
11 Sep 2023, 2:36 am
For more information on the firm’s investigation please see: Cottonwood Multifamily REIT I, Inc. [read post]
16 Aug 2023, 8:31 am
Diversification: Consider how the sale of these shares fits into your overall investment portfolio. [read post]
20 Jul 2023, 10:45 am
According to Smart Asset, the company has $17 billion in assets under management. [read post]
13 Jul 2023, 7:00 am
Securities and Exchange Commission (“SEC”) issued an order against Insight Venture Management LLC (“Insight”). [read post]
7 Jul 2023, 1:24 pm
According to its 2022 Focus Report, the company has $30 million in assets under management. [read post]
7 Jul 2023, 12:53 pm
Juggling multiple businesses or ventures may result in a lack of focus on managing client portfolios effectively, conducting thorough research, and providing the necessary attention to clients’ needs. [read post]
