Search for: "Portfolio Management & Investigations, LLC"
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2 Mar 2016, 12:00 pm
Goyal admitted to providing Diamondback Capital Management LLC, where Todd Newman and Anthony Chiasson (defendants in Newman) were portfolio managers, with insider information from Dell employee Rob Ray. [read post]
24 Feb 2016, 11:27 am
In 2013, Western Property Holdings LLC sued Aequitas Capital Management Inc. [read post]
22 Feb 2016, 7:04 am
According to FINRA, Gladden participated in the management of the Church Development Fund and Church Fund and served as a governing member of the funds’ respective managers, CDF Managing Partners, LLC (CDF Managing Partners) and CF Manager, LLC (CF Manager). [read post]
19 Feb 2016, 11:35 am
”The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
3 Feb 2016, 10:42 am
The investment attorneys of Gana LLP are investigating potential recovery options for investors in various high yield “junk” bond funds. [read post]
27 Jan 2016, 5:52 pm
Steps for Law Firm Stability – Andrew Jillson, Director and Co-Founder at Hayse, LLC on their blog, Managing Law Firm Transition For more of the best, check out LXBN, a complete review of the top insight and commentary across the LexBlog Network. [read post]
11 Jan 2016, 11:12 am
Riewe has overseen a staff of nearly 80 attorneys, industry experts, and other professionals responsible for conducting investigations into investment advisers, investment companies, and private funds. [read post]
8 Jan 2016, 10:02 am
Cohen will be prohibited from supervising funds that manage outside money until 2018 in order to settle charges for failing to supervise a former portfolio manager who engaged in insider trading while employed at his firm. [read post]
8 Jan 2016, 6:52 am
The Franklin Fund’s woes follows several others in the high yield space that our firm is tracking including the Third Avenue Focused Credit Fund, Stone Lion Capital Partners, and Claren Road Asset Management LLC. [read post]
7 Jan 2016, 8:58 am
From June 2013, through February 2014, Riordan was associated with Portfolio Advisors Alliance, Inc. [read post]
2 Jan 2016, 7:58 am
The investment attorneys of Gana LLP are investigating potential recovery options for investors in the Claren Road Asset Management LLC fund (Claren Road), managed by Carlyle Group LP (Carlyle Group). [read post]
2 Jan 2016, 7:32 am
Stone Lion’s fund freeze follows several others in the high yield space that our firm is tracking including the Third Avenue Focused Credit Fund and Claren Road Asset Management LLC. [read post]
27 Dec 2015, 6:23 am
The investment attorneys of Gana LLP are investigating potential recovery options for investors in the Third Avenue Focused Credit Fund (TFCIX) managed by Third Avenue Management LLC. [read post]
19 Nov 2015, 2:51 pm
Virtus had hired the investment management firm F-squared as a subadvisor for mutual funds. [read post]
14 Oct 2015, 3:53 pm
According to a press release, “An SEC investigation found that Blackstone Management Partners, Blackstone Management Partners III, and Blackstone Management Partners IV failed to adequately disclose the acceleration of monitoring fees paid by fund-owned portfolio companies prior to the companies’ sale or initial public offering. [read post]
4 Sep 2015, 11:55 am
At the time of the collapse, the portfolio of properties at issue was worth $5.7 million. [read post]
28 Aug 2015, 10:44 am
It also may bring actions against individuals at the firm, such as the chief compliance officer, portfolio managers, members of the pricing committee or pricing group, or others. [read post]
29 Jun 2015, 4:29 pm
A mutual fund is a managed portfolio of investments. [read post]
14 Apr 2015, 4:50 pm
’s fee credit refunds were issued around the same time as the SEC’s commencement of enforcement proceedings against Clean Energy Capital (CEC) and its main portfolio manager, Scott Brittenham (Brittenham) in February 2014. [read post]
11 Apr 2015, 12:00 pm
He previously served as Founder and Principal of Thaniel Government Relations LLC, a transportation consulting firm. [read post]
