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11 Mar 2016, 8:35 am
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
11 Mar 2016, 6:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
10 Mar 2016, 5:25 pm
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
8 Mar 2016, 6:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
7 Mar 2016, 9:41 am
These two funds have plummeted significantly since the recommendation. [read post]
7 Mar 2016, 7:26 am
In a separate administrative proceeding, the RIEDC’s financial advisor for the bond offering – First Southwest Company LLC – agreed to settle charges that it violated MSRB rules by failing to document in writing the scope of the services the firm was providing in the bond offering until seven months after the financial advisory relationship began. [read post]
4 Mar 2016, 6:00 am
Halper, Orrick, Herrington & Sutcliffe LLP, on Tuesday, March 1, 2016 Tags: Board independence, Boards of Directors, Charter & bylaws, Conflicts of interest, Delaware cases, Delaware law,Disclosure, Fairness review, Financial advisers, Firm valuation, Forum selection, Inversions, Liability standards, Merger litigation, Mergers & acquisitions, SEC rulemaking, Securities Regulation, Settlements, Tax avoidance Demise of the Small IPO and the Investing Preferences of… [read post]
29 Feb 2016, 4:43 pm
Laborers District Council Construction Industry Pension Fund, 135 S.Ct. 1318 (2015). [read post]
26 Feb 2016, 6:06 am
Atmeh, CamberView Partners, LLC, on Friday, February 19, 2016 Tags: Boards of Directors, Charter & bylaws, Director nominations, Engagement, Institutional Investors, ISS, No-action letters, Proxy access, Rule 14a-8, SEC, Securities Regulation, Shareholder proposals, Shareholder voting Board Decisions in Delaware M&A Transactions Posted by Robert B. [read post]
24 Feb 2016, 11:27 am
Specifically, The White Law Group’s securities fraud investigation includes the following Aequitas offerings (among others): Aequitas WRFF I Aequitas Private Client Fund Aequitas Income Protection Fund Aequitas ETC Founders Fund Aequitas Income Opportunity Fund II Aequitas Enhanced Income Fund Aequitas Commodities Fund Aequitas Capital Opportunities Fund Aequitas Secured Subordinated Promissory Notes If you… [read post]
23 Feb 2016, 7:36 am
Margaret McGuire, Chief of the Financial Reporting and Audit Group, stressed that the Commission will continue to look at auditors’ conduct in financial reporting fraud cases as well. [read post]
22 Feb 2016, 6:45 pm
Have you suffered losses investing in Aequitas WRFF I, LLC? [read post]
22 Feb 2016, 6:38 pm
Have you suffered losses investing in Aequitas Private Client Fund, LLC? [read post]
22 Feb 2016, 6:31 pm
Have you suffered losses investing in Aequitas Income Protection Fund, LLC? [read post]
22 Feb 2016, 6:25 pm
Have you suffered losses investing in Aequitas Income Opportunity Fund II, LLC? [read post]
22 Feb 2016, 6:19 pm
Have you suffered losses investing in Aequitas ETC Founders Fund , LLC? [read post]
22 Feb 2016, 6:12 pm
Have you suffered losses investing in Aequitas Enhanced Income Fund, LLC? [read post]
22 Feb 2016, 6:01 pm
Have you suffered losses investing in Aequitas Commodities Fund, LLC? [read post]
22 Feb 2016, 5:57 pm
Have you suffered losses investing in Aequitas Capital Opportunities Fund, LP formerly Aequitas Merchant Bank Fund, LLC? [read post]
22 Feb 2016, 4:36 pm
The Act has two basic objectives: To ensure that potential investors receive the relevant financial, and all other significant information concerning securities being offered for public sale, and To prohibit deceit, misrepresentations, and other fraud in the sale of securities.1 In order to achieve these stated objectives, the Act requires the registration of companies’ securities. [read post]
