Search for: "Capital Management Securities"
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23 Jun 2019, 7:00 am
Claims may be brought in securities arbitration before FINRA. [read post]
29 Jul 2021, 3:08 pm
Kuta was registered with Capitol Securities Management, Inc. [read post]
3 Jul 2017, 11:07 am
On January 10, 2017 the SEC charged Greg Dean of Seaford, N.Y. a registered representative with Worden Capital Management, and previously with J.D. [read post]
12 Jul 2007, 8:29 am
Sumir Chadha, managing director of Sequoia Capital India, will join Pangea3's board of directors.The additional financing will be used to fund the company's continued expansion and aggressive recruitment of superior quality legal talent in India and in the U.S., increase its service offerings and accelerate its sales and marketing efforts. [read post]
26 Mar 2019, 7:12 am
The post The FBI and NY Regulators Raid GPB Capital Holdings’ Trash Hauling Company appeared first on Securities Fraud Attorney. [read post]
20 Apr 2021, 3:15 pm
Former Cascade Financial Management, Inc. broker Daniel Alex Cantarovici was the subject of one regulatory disclosure involving GPB Capital funds. [read post]
23 Sep 2020, 7:45 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and a frequent speaker about securities and investment fraud. [read post]
30 Dec 2022, 3:50 am
Observation 6: Patch management and implementing critical security patches is fundamental. [read post]
8 Dec 2020, 7:07 am
GPB Capital Holdings is a New York-based alternative asset management firm that raised $1.8 billion since it was founded in 2013 by Scientologist David Gentile. [read post]
21 Jun 2019, 7:40 am
These rules help ensure that the firms who are at the center of the security-based swap market manage counterparty risk appropriately and in so doing protect investors and the market more generally,” said SEC Chairman Jay Clayton. [read post]
21 Nov 2006, 9:41 am
The activist hedge fund, which lost half its investment team in September, on Tuesday raised the pressure on security company Brink’s to explore a sale of the company and put Pirate fund manager Thomas R. [read post]
8 Mar 2019, 12:44 pm
The post FBI Now Investigating GPB Capital Holdings appeared first on Securities Arbitration Lawyers Blog. [read post]
13 Jun 2024, 7:17 am
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. [read post]
3 May 2019, 2:05 pm
GPB Capital Holdings is an alternative asset management firm whose private placement funds are primarily invested in auto dealership and waste management. [read post]
26 Feb 2007, 9:45 am
The Securities and Exchange Commission (Commission) today filed a settled civil injunctive action against a Northbrook, Illinois hedge fund adviser, Crestview Capital Partners, LLC (Crestview), and one of its managing members, Stewart R. [read post]
15 Sep 2021, 3:22 am
– Signet Jewelers also added “Human Capital Management” to the title of its Compensation Committee, and described the board’s oversight role on those activities. [read post]
19 Dec 2018, 3:30 am
As recently reported, both the SEC and FINRA have commenced their own investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
1 Dec 2021, 9:33 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
2 Dec 2020, 5:09 am
Advisor Kenneth Barroga (Barroga), currently employed by Crown Capital Securities, L.P. [read post]
19 May 2020, 6:49 am
Chicago-based Stoltmann Law Offices, P.C. is currently investigating claims on behalf of TCA Global Credit Fund and TCA Fund Management Group investors involving Royal Alliance advisor Mark Young, and Watts Capital, LLC and Thomas Watts. [read post]
