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2 Feb 2024, 1:18 pm
In a press release, the Treasury accused the companies of funding the conflict, laundering money for the military and “engaging in policies that threaten the peace, security and stability of Sudan. [read post]
23 Dec 2011, 10:22 am
The Securities and Exchange Commission on Friday charged GE Funding Capital Market Services, a unit of General Electric Co., with securities fraud, in a case that resulted in two settlements totaling about $70 million. [read post]
18 Feb 2022, 9:15 am
Investment Management Company for breaches of its fiduciary duty to its clients in connection with its selection of mutual funds that benefited its parent company. [read post]
15 May 2020, 2:47 pm
TCA would cause the Master Fund to recognize these investment banking fees as revenue at the time the agreement was signed, even though these companies lacked the financial wherewithal to pay these fees unless Master Fund was successful in obtaining financing for the company, which rarely occurred, and Master Fund had provided few, if any, services to the company at the time the agreement was signed. [read post]
15 May 2020, 2:47 pm
TCA would cause the Master Fund to recognize these investment banking fees as revenue at the time the agreement was signed, even though these companies lacked the financial wherewithal to pay these fees unless Master Fund was successful in obtaining financing for the company, which rarely occurred, and Master Fund had provided few, if any, services to the company at the time the agreement was signed. [read post]
5 Dec 2007, 4:53 am
And even after the fund, managed by Daniel Jones and his company, Azure Bay Management, knew that the [...] [read post]
21 Oct 2018, 6:45 am
Their disclosures to investors may not contain false or incomplete information.The Investment Company Act of 1940 (the "Company Act") regulates trading activities of entities that "engage primarily, in the business of investing, reinvesting, or trading in securities" and are "investment companies. [read post]
15 Dec 2019, 7:38 am
On November 22, 2019, the United States Court of Appeals for the First Circuit held [1] that the ownership stakes of related but separate private equity (“PE”) funds in a portfolio company will not be aggregated for purposes of determining whether those funds themselves are part of the portfolio company’s “controlled group” and therefore subject to the portfolio company’s union pension liabilities under the Employee… [read post]
2 Dec 2003, 4:41 am
In Tuesday's corporations and securities law news, New York Attorney General Eliot Spitzer may file a civil complaint against Amvescap Plc's Invesco Funds Group with allowing numerous hedge funds to make improper trades in its mutual funds. [read post]
16 Jan 2007, 3:49 am
Securities and Exchange Commission on Friday, New York-based hedge fund Thales Fund Management called Ultratech undervalued and suggested [...] [read post]
4 Nov 2017, 9:50 am
Some of the Woodbridge entities or Woodbridge Funds include the following: WMF Management, LLC Woodbridge Group of Companies, LLC Woodbridge Mortgage Investment Fund 1, LLC Woodbridge Mortgage Investment Fund 2, LLC Woodbridge Mortgage Investment Fund 3, LLC Woodbridge Mortgage Investment Fund PA, LLC Woodbridge Group of Companies, LLC (DBA Woodbridge Wealth) Investors who have suffered losses may be able recover their losses through… [read post]
22 Jun 2010, 12:45 pm
As previously reported, the SEC proposes amendments to rule 482 under the Securities Act of 1933 and rule 34b-1 under the Investment Company Act of 1940 that, if adopted, would require a target date retirement fund that includes the target... [read post]
24 May 2010, 5:30 pm
Click here for more blog postings about IMH Secured Loan Fund. [read post]
13 Aug 2013, 6:14 am
In December 2012, we published an Alert after a Federal District Court concluded that: (1) a private equity fund was not a “trade or business” for purposes of determining whether the fund could be liable under the Employee Retirement Income Security Act of 1974 (“ERISA”) for the pension obligations of one of its portfolio companies and (2) consequently, the private equity fund could not be liable for its portfolio… [read post]
9 Oct 2018, 2:18 pm
Private equity funds, on the other hand, invest in securities of private companies, and therefore are much less liquid. [read post]
9 Feb 2023, 3:15 am
Last week, a jury in a securities class action lawsuit found in favor of Elon Musk for his 2018 “funding secured” tweet – in which he said he was considering taking Twitter private at $420 per share and had locked in the funding. [read post]
10 Feb 2024, 4:16 am
News Sources Beagle – ComplexDiscovery The 15 Finalists You Chose To Be In the 2024 Startup Alley at ABA TECHSHOW AI eDiscovery startup BeagleTM Secures $3m in Seed Funding Cruelty-Free e-Discovery? [read post]
12 Jul 2023, 8:55 am
The Securities and Exchange Commission today adopted amendments to certain rules that govern money market funds under the Investment Company Act of 1940. [read post]
12 Mar 2010, 8:13 am
On March 11, 2010, Ezra Levy, former chief trader and Chief Financial Officer at Boston Provident Partners LP, a hedge fund company based in New York City, pleaded guilty to securities and wire fraud for stealing approximately $3 million from his former employer. [read post]
24 Feb 2022, 6:01 am
Given their importance, securing the United States’ supply of these chips is an economic and national security imperative. [read post]
