Search for: "Capital Investment Funding LLC"
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7 Jun 2024, 1:18 pm
The charges stem from their alleged involvement in recommending investments in Horizon Private Equity, III, LLC (Horizon), a Ponzi scheme purportedly operated by John J. [read post]
5 Jun 2024, 3:38 pm
In total, they managed to sell approximately $25.5 million worth of investments in these LLCs, spread across about 300 accounts belonging to 187 distinct clients. [read post]
5 Jun 2024, 1:45 pm
Since at least 2014, Crown Capital allegedly recommended that clients purchase or hold mutual fund share classes that charged 12b-1 fees when lower-cost share classes of the same funds were available. [read post]
3 Jun 2024, 12:50 pm
Edelman, who was reportedly registered with Spartan Capital Securities until 2019, purportedly misappropriated most of the funds for personal use, including paying credit card bills and giving money to family members. [read post]
31 May 2024, 11:27 am
Murray Founded Trillium Capital as an investment management firm, where he serves as the Managing Partner. [read post]
28 May 2024, 2:08 pm
The Office of the New York Attorney General (“NYAG”) recently announced that it reached a settlement worth $2 billion with cryptocurrency firms Genesis Global Capital, LLC; Genesis Asia Pacific PTE, LTD.; and Genesis Global Holdco, LLC (collectively, “Genesis”). [read post]
26 May 2024, 2:23 am
Key tax considerations include capital gains taxes that may apply to the sale of shared property or investment distributions, tax credits that may be affected by decisions about child custody, and taxes and penalties on retirement fund distributions. [read post]
20 May 2024, 4:26 am
” The three founding partners were Russell Diamond, Matthew Grodin and Bill Cline as limited partners, with Alcova Capital Management GP LLC (“ACMGP”) as general partner. [read post]
9 May 2024, 2:00 pm
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
7 May 2024, 7:35 am
GPB Capital, a New York-based alternative asset management firm, raised funds by selling limited partnership interests, particularly through broker-dealers, including the firms mentioned. [read post]
2 May 2024, 12:35 pm
The client further alleged collusion with an accountant to convert funds, excessive fees, unsuitable investment recommendations, and failure to communicate account activity. [read post]
2 May 2024, 6:53 am
Just as Kirkland does in every single debtor representation, irrespective of who is invested in the capital structure. [read post]
22 Apr 2024, 1:11 pm
For this and other reasons, once a motion to dismiss is denied, desire to stem defense costs coupled with inherent risk and uncertainty in securities litigation generally leads to pre-trial settlements. [10] Insurance Coverage Considerations As a threshold matter, private equity firms and other investment funds (REITs, venture capital firms, hedge funds, etc.) ordinarily have coverage under general partnership liability (GPL) policies, which are tailored to… [read post]
18 Apr 2024, 7:37 am
Collectively, the 5 investment advisers, GeaSphere LLC; Bradesco Global Advisors Inc.; Credicorp Capital Advisors LLC; InSight Securities Inc., and Monex Asset Management Inc., were censured, ordered to cease and desist from further violations of the Investment Advisers Act of 1940, and pay civil penalties ranging from $20,000 to $100,000. [read post]
16 Apr 2024, 7:57 am
Scheduled for April 18, 2024, at 4 pm CST the FREE webinar will focus on the tax implications for European companies entering the US market and will provide insights into: Tax system in the USA for corporations (corporate tax rate, taxable income, tax credits, alternative minimum tax (AMT), double taxation, state taxes, tax reporting, tax planning and compliance) Entity choice – tax implications of investing through a corporation, partnership or LLC … [read post]
4 Apr 2024, 4:35 am
In re Iowa Venture Capital Co-Investment Fund, LLC, Serial No. 97558604 (April 1, 2024) [not precedential] (Opinion by Judge Mark Lebow). [read post]
3 Apr 2024, 9:01 pm
And as another example, just last month, the SEC charged 17 individuals for their role in an alleged crypto Ponzi scheme that raised $300 million from more than 40,000 investors, primarily from the Latino community.[14] Several defendants allegedly solicited investors with promises of financial freedom and “risk free” crypto and foreign exchange investments.[15] As alleged in our complaint, in true Ponzi fashion, most of the funds raised were not used for any… [read post]
29 Mar 2024, 3:12 pm
—charging them with illegally selling off-exchange binary options under the brands BeeOptions, Glenridge Capital, and Rumelia Capital to U.S. customers. [read post]
11 Mar 2024, 7:14 am
FINRA BrokerCheck Report – Jay Pocius According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry: 05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
11 Mar 2024, 5:00 am
” Sources: SEC Charges Connecticut-Based Investment Adviser 3D/L Capital Management, LLC, with Failing to Fully and Fairly Disclose Conflicts of Interest, Orders It to Pay Harmed Clients Order – 3D/L Capital Management, LLC The SEC Continues its Attack on the Word “May” “May” Can Be a Failure to Disclose The One That “May” Pay Commissions “May” May Not Be Adequate Disclosure [read post]
