Search for: "Private Funding Management Inc"
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2 May 2015, 12:00 pm
W2007 Grace, which is indirectly owned by one or more private equity funds affiliated with The Goldman Sachs Group Inc., has agreed to pay $640,000 to settle the SEC’s charges relating to eight missed filings. [read post]
4 Feb 2024, 9:05 pm
The taxonomy reveals several similarities, but from a corporate governance point of view, also stark differences between the role of banks and private credit funds when lending to and engaging with corporate borrowers: By seeking board representation on a borrower’s board and getting full access to its management, private credit funds equip themselves with a dynamic view of the firm’s valuation, which helps private credit… [read post]
19 Apr 2011, 5:00 am
For a fund manager, the funds are the clients. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
8 Dec 2023, 8:26 am
The Lever, Dec. 8, 2023 "As the country’s immigration agency ponders a significant expansion of its vast, troubled immigrant surveillance regime, private prison companies are telling investors that the proposal could bring significant profits — and are deploying lobbyists to fight to fund it. [read post]
24 Aug 2021, 12:14 pm
Wood is the president and majority owner of Southport, which is registered with the SEC as Livingston Group Asset Management Company, Inc. [read post]
18 Aug 2011, 11:29 am
David Group of Companies, Inc. [read post]
6 Apr 2010, 5:00 am
Zang sued Fidelity Management & Research Company, FMR Co., Inc., and FMR LLC. [read post]
2 Feb 2010, 12:54 am
The Good, the Bad and Potentially UGLY of UCITS III Hedge Funds Location: London February 10-12 Sponsor: Infocast, Inc. [read post]
30 Oct 2009, 2:01 am
Managers moving into new asset classes (say a private equity fund moving into real estate investments) should think about how cash flows and reporting are going to change from current systems. [read post]
16 Aug 2023, 9:04 am
Securities America Sanctioned for Risky LJM Fund Sales March 29, 2021 – FINRA censured and fined Securities America $100,000 for supervisory violations in connection with the recommendations of an alternative mutual fund sponsored by LJM Funds Management. [read post]
25 Feb 2020, 7:08 am
Private placements tend to be speculative and exposed investors to unique risks like lack of liquidity, concentrated risk, key-man risk, and management risk not typically found in publicly traded investments like mutual funds. [read post]
7 Dec 2010, 3:07 pm
Janus Capital Group, Inc. v. [read post]
30 Mar 2012, 1:27 pm
The Great Lakes Protection Fund is a private, nonprofit corporation formed in 1989 by the Governors of the Great Lakes states. [read post]
8 Feb 2021, 7:10 am
A FINRA arbitration panel has awarded customers of Arete Wealth Management $515,000 for investment losses in risky GPB Capital Holdings private placements. [read post]
24 Apr 2007, 2:50 pm
Perhaps the New Castle Correctional Facility in Indiana was dysfunctional before the state turned over its management to the GEO Group, Inc., but it's fair to ask why a riot broke out in its first year of private management. [read post]
2 Jun 2010, 5:23 pm
Please email us if you would like us to add your event to this list. **** June 1 Sponsor: WBR (World Business Research) Event: TradeTech India 2010 Location: Mumbai, India June 1 Sponsor: Infovest 21 Event: Preparing for Impending Regulatory Changes Location: New York, New York June 2 Sponsor: FTF (Financial Technologies Forum, LLC) Event: Understanding Portfolio Management & Trading Location: New York, New York June 2 Sponsor: HedgeWorld Event: CTA 2010: Managed… [read post]
4 Jun 2019, 7:56 am
According to our investigation Kalos Capital, Inc. [read post]
8 Mar 2016, 12:13 pm
The Securities and Exchange Commission today announced fraud charges against an unregistered fund manager accused of hiding his checkered past while providing false and misleading data to investors and an independent research firm. [read post]
3 Dec 2018, 7:00 am
(operating under the brand Xact Data Discovery, XDD USA) by a private equity firm, JLL Partners Fund VII, L.P. [read post]
