Search for: "Oxford Investment Partners LLC"
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22 Apr 2022, 5:33 am
Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Tags: Comment letters, Institutional Investors, Investment advisers, Investor protection, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
22 Apr 2022, 5:33 am
Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Tags: Comment letters, Institutional Investors, Investment advisers, Investor protection, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
27 Nov 2020, 5:58 am
Adler, Jessica Forbes, and Stacey Song, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, November 25, 2020 Tags: Accredited investors, Capital formation, Equity offerings, Institutional Investors, Registration exemptions, Regulation D, Regulation S, Safe harbor, SEC, SEC rulemaking, Securities regulation EQT: Private Equity with a Purpose Posted by Robert Eccles (University of Oxford), Therese Lennehag (EQT… [read post]
13 Apr 2020, 4:19 pm
Notably, the increase in frequency of Exchange Act securities class actions since 2018 has coincided with the end of the longest running bull market in U.S. history.[12][13] As a result, more fervent shareholder recovery efforts can be expected as the fiduciary duties of institutional investment managers are tested and global investors in the U.S. capital markets seek nontraditional equity investment returns. [read post]
22 Nov 2019, 5:51 am
Hellmann (University of Oxford), on Monday, November 18, 2019 Tags: Capital formation, IPOs, Private equity, Private firms, Tech companies, Venture capital firms 2019 U.S. [read post]
7 Oct 2019, 5:29 am
In Oxford University Bank, [1] a private fund issuer, which otherwise would have been required to register as an investment company, relied on the § 3(c)(7) exemption from the definition of “investment company” in the Act. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
20 Feb 2019, 2:13 pm
Dynkowski is a partner with Michigan-based Ackerman Ackerman & Dynkowski. [read post]
23 Jul 2018, 8:19 am
FS2 Capital Partners, LLC). [read post]
31 Dec 2017, 1:46 pm
Treasury (34) @lypierceCPA – Lykethia Pierce, CPA – CEO of Pierce, CPA & Associates LLC| Check out what I have a flair (e.g., accounting, biz, people, life…) for | Phone no. (205) 370-4508/@AuthenticCPA (35) @LTWLAW – Louis T. [read post]
31 Dec 2016, 12:36 pm
(31) @lypierceCPA – Lykethia Pierce, CPA – CEO of Pierce, CPA & Associates LLC| Check out what I have a flair (e.g., accounting, biz, people, life…) for | Phone no. (205) 370-4508/@authentic_CPA (32) @MInfanteCPA – Mercedes Infante,CPA – Small Biz, Tax, Accounting & Personal Finance. [read post]
2 Jun 2016, 5:23 am
Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLCCase number: 09-cv-03333 (United States District Court for the District of Minnesota)Case filed: November 23, 2009Qualifying Judgment/Order: January 12, 2016 3/31/2016 6/29/2016 2016-41 In the Matter of PTC Inc.Administrative Proceeding File No.: 3-17118Case filed: February 16, 2016Qualifying Judgment/Order:… [read post]
6 Oct 2013, 8:45 am
Eurocopter, société par actions simplifiée, 2013 FCA http://t.co/XuL3X5THkG -> 2nd copyright suit filed against American Music http://t.co/JQCtVToAeU -> Australian music label Liberation fights Harvard professor Lawrence Lessig over copyright http://t.co/WNfSkXQrFg -> Oxford and Cambridge sue in copyright controversy http://t.co/iNxENRYfFh -> Ethical issues when using social media http://t.co/UOByWDX9Mk -> Movie downloader using bittorrent liable to pay… [read post]
4 Oct 2013, 3:57 am
” In August, Oxford Finance LLC, a specialty finance firm that provides senior debt to life sciences and health care service companies, closed a $7.2 million senior secured term loan with Pritok Capital, a private equity group that specializes in senior housing investment. [read post]
30 Jul 2012, 11:14 am
The branch of NRP which is alleged to have been responsible for the scheme was a broker-dealer called Oxford Private Client Group LLC, which was partly owned by Mr. [read post]
30 May 2012, 7:37 pm
According to the SEC, Clarke advised clients at Oxford Investment Partners LLC (“Oxford”) to invest in two businesses without disclosing that he co-owned one of them and had financial ties to the owners of the other. [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
21 Mar 2012, 11:31 am
In terms of function and practice, registered investment advisory firms (RIAs) are similar to brokerage firms. [read post]
10 Jan 2012, 3:36 pm
A lot of the parties that invested were clients of Oxford Private Client Group LLC, which is not only a NRP Financial branch, but also it is partly owned by Cook and Beckman. [read post]
