Search for: "Capital Management Securities"
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13 Dec 2016, 10:13 am
U.S. persons who own foreign securities for their own portfolios and/or who invest in foreign securities on behalf of others (referred to as ‘‘end-investors’’), including investment managers and fund sponsors such as: Managers of private and public pension funds Hedge fund managers Managers and sponsors of private equity funds, venture capital companies and similar private investment vehicles… [read post]
14 Feb 2020, 9:40 am
The post Criterion Wealth Management Securities Investigation appeared first on The White Law Group. [read post]
18 Feb 2020, 9:40 am
The post Criterion Wealth Management Securities Investigation appeared first on The White Law Group. [read post]
12 Mar 2019, 2:23 pm
The two Alexander Capital managers named in the civil case were Barry Eisenberg and Philip Noto. [read post]
9 Feb 2021, 7:07 am
Her state’s securities fraud lawsuit comes on the heels of the US Securities and Exchange Commission’s (SEC) civil case accusing the same defendants—GPB Capital Holdings, its CEO and owner David Gentile, ex-GPB managing partner, Jeffrey Lash, GPB private placement agent and Ascendant Capital owner, Jeffry Schneider, Ascendant Capital, and Ascendant Capital Alternative Strategies—of defrauding over 17,000 investors… [read post]
11 Mar 2016, 6:00 am
The Securities and Exchange Commission (“SEC”) recently brought an administrative proceeding against unregistered fund manager Steven Zoernack and his firm, EquityStar Capital Management, LLC (“EquityStar”), for engaging in allegedly fraudulent conduct in violation of federal securities and investment adviser laws. [read post]
18 May 2021, 1:52 pm
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development Ortiz entered the securities industry in 1997. [read post]
28 Apr 2021, 5:33 am
Over GPB Funds appeared first on Securities Arbitration Lawyer Blog. [read post]
30 Aug 2011, 8:25 am
Because the hedge fund manager had never secured any other outside investor in the fund, the seed investor’s $40 million investment comprised over 99.9 percent of the fund’s invested capital. [read post]
27 Nov 2023, 7:50 am
The speech is entitled: The role of asset management – channelling capital into financial markets preserving financial stability and sustainability aims. [read post]
23 Jul 2010, 2:11 pm
Pequot Capital Management, Inc., et... [read post]
SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
5 Feb 2021, 11:32 am
Justice Department Files Parallel Criminal Charges The Securities and Exchange Commission (SEC) has filed civil charges against GPB Capital Holdings CEO and owner David Gentile, ex-GPB managing partner Jeffrey Lash, Ascendant Capital owner Jeffry Schneider, and affiliated entities, including Ascendant Alternative Strategies, of defrauding 17,000 retail investors in a more than $1.7B in a Ponzi-like scam. [read post]
7 Jun 2023, 9:15 am
Continue reading The post Former GPB Capital Executive Pleads Guilty to Wire Fraud appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Feb 2013, 9:33 am
Dividend Capital also targeted investments in real estate related securities, securities issued by other real estate companies, and mortgage loans secured by income-producing real estate. [read post]
25 Apr 2013, 5:00 am
Umesh Tandon ran Simran Capital Management and was trying to land California Public Employees’ Retirement System (CalPERS) as a client. [read post]
4 Mar 2022, 12:34 pm
Ex-NY Worden Capital Broker Barred After Allegedly Charging $1.6M in Commissions The Financial Industry Regulatory Authority (FINRA) has barred ex-Worden Capital Management and former SW Financial registered representative, William Nicholas Athas. [read post]
14 Mar 2014, 3:25 pm
Capital to trade Dell securities based on nonpublic information in advance of at least two quarterly earnings announcements in 2008 and 2009. [read post]
3 Oct 2019, 11:20 am
Discussion In the wake of the news of the Capital One cybersecurity breach, a number of different people expressed surprise to me that there was not, at least not right away, a data breach-related D&O lawsuit filed against the company or its senior management. [read post]
9 Dec 2011, 2:33 pm
Proposed legislation creating a new securities registration exemption for crowd-sourced funds might provide a new source of capital for some start-ups, and provide small investors an opportunity to participate in early-stage ventures. [read post]
1 Mar 2011, 12:32 pm
The SEC alleges that Goldfarb and his company, Baystar Capital Management LLC (BCM),... [read post]
