Search for: "Capital Management Inc."
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16 Oct 2009, 6:12 pm
Richard Welty, principal at Welty Capital Management, talks about financial stocks including the Goldman Sachs Group Inc. and JPMorgan Chase & Co. [read post]
28 May 2020, 8:02 am
GPB Capital Holdings, Inc. has reportedly raised $1.5 billion in investor equity through various private placement offerings in the automotive retail and waste management sectors. [read post]
25 Mar 2020, 9:27 am
” Annaly Capital Management, Inc. engages in the investment and financing of residential and commercial assets, according to Market Watch. [read post]
7 Feb 2017, 5:52 am
Retirees Keith and Joyce McCrea, and William Lashlee, 88, alleged in their claim that a broker at Source Capital Group Inc. sold them stock in a now defunct health care technology start-up. [read post]
29 Aug 2018, 8:32 am
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
27 Aug 2018, 5:00 pm
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
12 Jul 2012, 6:32 am
The Florida Attorney General has initiated a lawsuit on behalf of the Florida Office of Financial Regulation ("FLOFR") against brokerage firm Prime Capital Services, Inc., headquartered in Poughkeepsie, New York, and Florida-based investment adviser, Asset & Financial Planning, Ltd. [read post]
26 Sep 2012, 8:44 am
Bain Capital Inc. receives nothing but management fee income and maybe deal fee income, as far as I can tell. [read post]
19 Sep 2013, 5:48 am
As a result, the company, which was acquired this week by a private investor group led by Bain Capital LLC (yes, that Bain Capital) and Golden Gate Capital together with Insight Venture Partners, GIC Special Investments Pte Ltd, and Elliott Management Corporation, will have to pay $12.9 million plus penalty and interest. [read post]
3 Dec 2010, 1:06 pm
Mason Capital Management LLC, which describes itself as "significant investors" in Airgas, Inc., submitted a letter to the company's board of directors today. [read post]
21 Oct 2010, 6:59 am
Over the past five years, about 65% of all US equity managers failed to outperform their respective Russell Indexes, and 84% of fixed income managers failed to beat their respective Barclays Capital Indices. [read post]
11 Feb 2013, 9:33 am
Dividend Capital Total Reality Trust Inc. operates as a non-traded REIT that began by providing investment opportunity in high-quality office, industrial retail, multi-family, and real properties located in North America. [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
15 Sep 2020, 8:58 am
Joshua Stivers (Joshua Daniel Stivers CRD:#5708565) is a currently registered broker and investment advisor currently employed with Kalos Capital, Inc. [read post]
1 Jan 2015, 5:48 am
The notes at issue are part of offerings by GWG Holdings, Inc. [read post]
11 Jan 2023, 11:01 am
In 2015 GPB Holdings II, LP (GP Holdings) was formed primarily to acquire and operate companies in the automotive, retail, and managed IT sectors. [read post]
22 May 2009, 1:06 am
The US Securities and Exchange Commission is suing the defendants, which include Kiselak, who is now a money manager, his Texas-based investment firm Kiselak Capital Group LLC, Jeffrey Sykes, and Gemstar Capital Group Inc, a venture capital company. [read post]
19 Jan 2019, 12:00 am
Preston Spears has been registered with Taylor Capital Management Inc. in Woodstock, Georgia since August 6, 2009, FINRA reports. [read post]
18 Jan 2019, 12:00 am
Jason Daugherty has been registered with Taylor Capital Management Inc. in Woodstock, Georgia since, January, 20, 2010, FINRA states.. [read post]
24 Apr 2012, 8:00 am
While managers with more than $1 billion under management appear to be taking the rule change in stride, for funds with less than $1 billion under management, this new freedom to communicate with investors presents a wealth of potential new capital raising avenues. [read post]
