Search for: "Capital Funding, LLC "
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5 Oct 2011, 10:33 am
The SEC has charged a Long Island-based investment adviser with defrauding investors in hedge funds investing in PIPE transactions and misappropriating more than $1 million in client assets for his personal use. [read post]
4 Oct 2011, 8:48 pm
It employs a unique variation on the principle that arbitration agreements are separable from the contracts of which they are a part, aggressively interprets Court precedents transferring from courts to arbitrators authority to resolve enforceability issues, and segregates the determination a contract has been “made” in a formalistic sense from consideration of defenses to its enforceability and validity.In AT&T Mobility LLC v. [read post]
3 Oct 2011, 11:26 am
His start-up firm is called BlackRobe Capital Partners LLC. [read post]
3 Oct 2011, 8:37 am
In 2009, the SEC filed fraud charges against two issuers of failed private placements: Medical Capital Holdings and Provident Royalties LLC. [read post]
3 Oct 2011, 4:35 am
The WSJ surveys the current landscape of litigation funding, discussing three new U.S. entrants: BlackRobe Capital Partners LLC, with John P. [read post]
2 Oct 2011, 7:23 am
Steffelin, who was in charge of the team responsible for selecting the portfolio for Squared, was accused of negligence for permitting the Magnetar Capital LLC hedge fund (which was poised to benefit if the CDOs defaulted) to select collateral and review and edit the term sheet and pitch book before those materials were provided to investors. [read post]
28 Sep 2011, 2:02 pm
RBC Capital Markets LLC of New York has agreed to pay $30.4 million to settle charges that it sold unsuitable, high-risk investments to five eastern Wisconsin school districts, as well as charges that it inadequately disclosed the risks. [read post]
28 Sep 2011, 8:14 am
RBC Capital settled by agreeing to: (1) cease and desist from committing or causing any violations of Sections 17(a)(2) and 17(a)(3) of the 1933 Act; and (2) pay $30.4 million that will be distributed in varying amounts to the school districts through a Fair Fund. [read post]
28 Sep 2011, 8:02 am
Much of the money has been spent or invested; it’s likely that only a small portion of the $200 million was actually sitting in cash or like funds. [read post]
27 Sep 2011, 2:05 am
In In re Dawson-Samberg Capital Mgmt, Inc. [read post]
21 Sep 2011, 5:41 am
Convicted: A former executive at expert-networking firm Primary Global Research LLC, James Fleishman, was convicted at trial of helping pass confidential information to fund managers as part of an insider-trading scheme, Bloomberg reports. [read post]
20 Sep 2011, 7:41 am
In a 5-4 decision issued on June 13, 2011, the Supreme Court ruled that Janus Capital Management LLC (“JCM”), the investment adviser and administrator for Janus Investment Fund, could not be held liable under Section 10(b) and Rule 10b-5 for helping to create allegedly “false statements in mutual fund prospectuses filed by Janus Investment Fund. [read post]
13 Sep 2011, 8:23 am
In Badger Capital, LLC v. [read post]
13 Sep 2011, 6:58 am
Ct. 2772 (2010); and AT&T Mobility LLC v. [read post]
12 Sep 2011, 7:28 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
12 Sep 2011, 7:23 am
The firm also violated various rules regarding training and the sale of exchange traded funds, and failed to maintain an adequate supervisory system. [read post]
9 Sep 2011, 10:07 am
” The following companies were sued: 1st Investment Management, LLC, a Wyoming LLC; City Credit Capital, (UK) Ltd., a United Kingdom company; Enfinium Pty Ltd., an Australian company; GBFX, LLC, a New York LLC; Gold & Bennett, LLC, a New York group; InterForex, Inc., a British Virgin Islands company; Lucid Financial, Inc., a Utah corporation; MF Financial, Ltd., a Belize company with offices in New York City; O.C.M. [read post]
9 Sep 2011, 6:00 am
Using an LLC? [read post]
8 Sep 2011, 8:55 pm
" The husband and wife "agreed to much of the property division without a trial" but "a trial was required to establish a valuation for the community business, Capital Aspects, LLC (Capital Aspects), and to determine spousal support. [read post]
