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26 Jun 2015, 7:30 am
According to Jones’ BrokerCheck records, Jones has a number of other disclosed outside businesses including Capital Region International, LLC, A.B.R.C., and Synergex International Corporation. [read post]
30 Jan 2018, 8:07 am
Have you suffered losses investing in American Realty Capital New York City REIT? [read post]
8 Dec 2011, 6:19 am
" Before joining ISS, Bylander was acting CEO of Hawkstone Capital LLC, a $200 million Europe long/short fund in which she was actively involved since it launched in 2006. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
6 Jul 2017, 1:10 pm
The fund invests 15% of its total portfolio in business services, while 10% focuses on the automotive sector. [read post]
21 Feb 2019, 2:04 pm
Several of the banks named in Philadelphia’s complaint were also among the banks were sued last year by Edelweiss Fund LLC on behalf of the states of Illinois, Massachusetts, New York, and California. [read post]
9 Apr 2021, 10:05 am
In April 2018 Hirons was discharged by RBC Capital Markets, LLC when the firm alleged that he was terminated for violating the firm’s order execution policy. [read post]
9 Oct 2015, 6:28 am
The complaint involved allegations that the claimant invested in Kadmon I, LLC and John Thomas Bridge and Opportunity Fund, L.P. [read post]
19 Apr 2010, 6:31 am
Here are two new items from Keith: Last week, the SEC announced an action against a private equity firm - Quadrangle Group LLC - for kickbacks involving a New York Pension Fund, making headline news due to the political connections of the firm's chief. [read post]
23 Jun 2016, 2:25 pm
Maryland anticipates that the “New Starts” full funding grant agreement with the Federal Transit Administration will be signed later this summer. [read post]
23 Jun 2016, 2:25 pm
Maryland anticipates that the “New Starts” full funding grant agreement with the Federal Transit Administration will be signed later this summer. [read post]
1 Jun 2012, 12:49 pm
Chrysler Group LLC reported gains of 30%, Ford Motor Co. reports a 13% gain, and General Motors Co. increased sales by 11%. [read post]
8 Apr 2008, 3:02 pm
Ultimately, he believes that the U.S. economy will suffer $6 to $7 trillion in capital losses in housing. [read post]
6 Nov 2020, 10:48 am
GE Capital Retail Bank v. [read post]
28 Sep 2011, 8:02 am
Much of the money has been spent or invested; it’s likely that only a small portion of the $200 million was actually sitting in cash or like funds. [read post]
16 Aug 2014, 7:54 pm
LLC. [read post]
22 Jan 2021, 1:00 pm
Publicly-available forms filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
11 Feb 2014, 8:04 am
Lucas owned and operated Lucas Capital Advisors LLC, through which he served as an investment advisor and manager to multiple individuals. [read post]
11 Feb 2008, 11:20 pm
In a recent 5-3 decision, the United States Supreme Court ruled in the case of Stoneridge Investment Partners, LLC v. [read post]
