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28 Aug 2022, 9:45 am
In December 2019, a customer complained that Serizawa violated the securities laws by alleging that Serizawa inappropriately sold private investment funds. [read post]
28 Aug 2022, 8:09 am
Sometimes those investments have some legitimacy but often times these types of investments can end up being Ponzi schemes or the advisor can be engaging in the conversion of funds. [read post]
15 Aug 2022, 3:48 am
First, in response to plaintiffs’ argument that their status as the only other members of the LLC obviated the requirement that a claim of misappropriation of funds owed to the LLC be brought derivatively, the court answered simply that “[a]ny injury is to [the LLC], and any damages must be recovered by [the LLC],” citing as authority the Court of Appeals’ 1989 opinion in Glenn v Hoteltron Systems, Inc. [read post]
12 Aug 2022, 11:43 am
Indeed, last year, in Manti Holdings, LLC v. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
2 Aug 2022, 6:40 am
(Agri Control) and the president of Kingsley Livestock LLC (Kingsley). [read post]
1 Aug 2022, 9:01 pm
The 39 settlements range from a high of $200 million (General Electric Company) to a low of $250,000 (ABTCOIN LLC). 32 of the 39 settlements occurred in U.S. [read post]
25 Jul 2022, 12:45 pm
I would be interested in the creation of a for-profit social enterprise and possibly having it independently designated as a Certified B Corporation or structured as a benefit corporation or social purpose corporation to provide more confidence and clarity about its primary social/charitable purpose. [read post]
19 Jul 2022, 9:01 pm
Accordingly, it is prudent that other crypto custodian platforms and those with substantial investments in such digital assets monitor the ongoing proceedings. [read post]
18 Jul 2022, 2:46 pm
In addition, the claimants were not able to demonstrate that there was a causal connection between the investment in fossil fuels and any changes to their benefits. [read post]
15 Jul 2022, 6:29 am
Investment Advisers Act Posted by Whitney Chatterjee, Don Crawshaw, and Eric Diamond, Sullivan & Cromwell LLP, on Wednesday, July 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment Advisers Act, SEC, Securities regulation Board Diversity Action Expands to Courtrooms, Regulators, and Investors Posted by Matthew Fust, on Wednesday, July 13, 2022 Tags: Board composition, Boards of… [read post]
15 Jul 2022, 6:29 am
Investment Advisers Act Posted by Whitney Chatterjee, Don Crawshaw, and Eric Diamond, Sullivan & Cromwell LLP, on Wednesday, July 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment Advisers Act, SEC, Securities regulation Board Diversity Action Expands to Courtrooms, Regulators, and Investors Posted by Matthew Fust, on Wednesday, July 13, 2022 Tags: Board composition, Boards of… [read post]
13 Jul 2022, 1:55 am
This report offers five sample comprehensive tax reform options to enhance Wisconsin’s tax competitiveness with a focus on reducing economically harmful taxes on labor and investment. [read post]
10 Jul 2022, 1:53 pm
Benefits: applies to all vs practice specific We make investments of time and resources to achieve some type of future benefits. [read post]
8 Jul 2022, 6:30 am
Jon has been the investment advisor or a trustee for more than $100 billion (including New York City’s pension funds) and has consulted to institutional investors with aggregate assets of $1 trillion dollars. [read post]
8 Jul 2022, 6:30 am
Jon has been the investment advisor or a trustee for more than $100 billion (including New York City’s pension funds) and has consulted to institutional investors with aggregate assets of $1 trillion dollars. [read post]
8 Jul 2022, 6:29 am
Larcker (Stanford University), and Brian Tayan (Stanford University), on Thursday, July 7, 2022 Tags: Bankruptcy, Capital formation, Capital structure, Distressed companies, Hedge funds, Institutional Investors, IPOs, REITs The Proposed SEC Climate Disclosure Rule: A Comment from the Investment Company Institute Posted by Dorothy Donohue, Susan Olson, and Eric Pan, Investment Company Institute, on Thursday, July 7, 2022… [read post]
8 Jul 2022, 6:29 am
Larcker (Stanford University), and Brian Tayan (Stanford University), on Thursday, July 7, 2022 Tags: Bankruptcy, Capital formation, Capital structure, Distressed companies, Hedge funds, Institutional Investors, IPOs, REITs The Proposed SEC Climate Disclosure Rule: A Comment from the Investment Company Institute Posted by Dorothy Donohue, Susan Olson, and Eric Pan, Investment Company Institute, on Thursday, July 7, 2022… [read post]
8 Jul 2022, 6:27 am
Continue reading The post Law Firm Investigating National Securities Corporation for the Sale of GWG L Bonds and GPB Capital Funds appeared first on Securities Arbitration Lawyer Blog. [read post]
