Search for: "Portfolio Management & Investigations, LLC"
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15 Dec 2022, 10:23 am
Blackwells Capital LLC proxy war with AR Global continues, Investor claims “Extreme Underperformance” According to the DIWire this week, Blackwells Capital LLC, an activist investor, reportedly filed a preliminary proxy statement to attempt to replace AR Global (Formerly American Realty Capital) as the external manager of the Necessity Retail REIT (formerly known as American Finance Trust). [read post]
8 Dec 2022, 12:20 pm
The post Zamansky LLC Investigates Sales of NRIA Portfolio Partners Fund I, LLC to Investors appeared first on Zamansky LLC. [read post]
8 Dec 2022, 12:15 pm
The post Zamansky LLC Investigates Unsuitable Sales by Broker-Dealers and Investment Advisors of Alternative Investments appeared first on Zamansky LLC. [read post]
14 Oct 2022, 11:50 am
Western Asset Macro Opportunities I (LAOIX), an open-ended fund sponsored by Western Asset Management Company, LLC., is one of worst performing bond funds of 2022, according to Financial Advisor Mag, As you many know, the federal reserve increased the interest rate again in September to 3% to 3.25%., (In May it was 0.75% to 1.00%). [read post]
7 Oct 2022, 12:37 pm
The CYES strategy, similar to the UBS YES (Yield Enhancement Strategy), involves margining investors’ conservative stock or bond portfolios to invest in “Iron Condor” options trading structures managed by a third-party investment advisory firm, Harvest Volatility Management. [read post]
5 Oct 2022, 8:34 am
GWG Recovery Options Emerson Equity LLC was the managing broker-dealer for these bonds. [read post]
2 Sep 2022, 8:00 am
He also had his own firm, Shillin Wealth Management, which managed close to 3,000 accounts and had $135 million in assets under management, according to the charges. [read post]
17 Aug 2022, 3:22 pm
During 2022, however, the Australian Competition & Consumer Commission (ACCC), which investigates criminal and civil violations of the cartel provisions, has been seeking to demonstrate that, as then-ACCC Chair Rod Sims stated, cartel conduct is “a critical component” of the ACCC’s competition portfolio, “and an enduring priority. [read post]
17 Aug 2022, 3:22 pm
During 2022, however, the Australian Competition & Consumer Commission (ACCC), which investigates criminal and civil violations of the cartel provisions, has been seeking to demonstrate that, as then-ACCC Chair Rod Sims stated, cartel conduct is “a critical component” of the ACCC’s competition portfolio, “and an enduring priority. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
12 Aug 2022, 6:34 am
Cooley’s affiliated investment fund — GC&H Investments LLC — has taken stock in startup clients, a regular practice among firms and lawyers that advise technology companies. [read post]
25 Jul 2022, 8:50 am
Starz Entertainment, LLC v. [read post]
21 Jun 2022, 1:21 pm
(CRD#:15007) of Melville, NY, Gunnallen Financial, Inc (CRD#:17609) of Farmingdale, NY, and Milestone Group Management LLC (CRD#:44486) of Lake Success, NY. [read post]
13 Jun 2022, 6:56 am
Robo advisers provide automated, software-based portfolio-management services and have become popular with savers and investors in recent years. [read post]
2 Jun 2022, 7:30 pm
According to the news release, GWG and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
29 Apr 2022, 10:37 am
To learn more about the firm’s investigation of D. [read post]
28 Apr 2022, 10:52 am
To keep it afloat, in August 2021, the company offered its entire portfolio of life insurance policies as collateral for loans. [read post]
15 Apr 2022, 6:24 am
Lighthouse Life Capital LLC’s bonds may involve similar risk to defaulted GWG L Bonds, Scott Silver, Silver Law Group’s managing partner, recently told The Deal publication. [read post]
