Search for: "Capital Management Securities"
Results 261 - 280
of 10,556
Sorted by Relevance
|
Sort by Date
12 Aug 2016, 7:20 am
Mitsakos and Matrix Capital Markets solicited investors in a hedge fund while falsely marketing themselves as experienced and highly successful money managers. [read post]
1 Mar 2021, 7:40 am
The two men, along with ex-GPB Managing Partner, Jeffrey Lash, were recently arrested in a related federal criminal case that was brought parallel to the US Securities and Exchange Commission (SEC)’s own civil lawsuit. [read post]
25 Jun 2013, 8:00 am
The bill leaves it up to the Securities and Exchange Commission to define a private equity fund for purposes of the bill. [read post]
1 Aug 2022, 10:10 am
Alan Appelbaum, Paul Gallivan of Aegis Allegedly recommended Highly Complex Structured Products to customers According to a press release on July 29, 2022, the Securities and Exhange Commission reportedly charged Aegis Capital Corp., former Aegis Managing Director Alan Z. [read post]
17 Aug 2021, 7:00 am
The post MJ Capital Funding Accused By SEC Of Operating As Ponzi Scheme, Silver Law Group Investigates appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Nov 2020, 6:52 am
The post Silver Law Group Representing Victims Who Invested In Coral Gables Asset Management appeared first on Securities Arbitration Lawyers Blog. [read post]
8 Jul 2020, 7:42 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities and investment fraud cases. [read post]
25 Aug 2021, 8:13 am
On August 20, 2021, the United States Securities and Exchange Commission (“SEC”) filed an emergency action to stop a fraudulent Ponzi scheme allegedly perpetrated by Marietta, Georgia resident John Woods and two entities he controls: registered investment adviser Livingston Group Asset Management Company, d/b/a Southport Capital (“Southport”), and investment fund Horizon Private Equity, III, LLC. [read post]
5 Oct 2011, 2:26 am
If a manager faces an examination by a securities division, it is likely that the structure will be scrutinized by examiners who may or may not understand the structure. [read post]
22 Jan 2015, 6:18 am
Owen Li, the manager of Canarsie Capital has apparently lost nearly 100 million dollars in what he calls overzealous investments, which caused devastating losses.Fund managers who invest the funds assets in an inappropriate manner are liable to their investors for their losses. [read post]
17 Dec 2019, 3:34 pm
The Securities and Exchange Commission (SEC) has charged Suneet Singal (“Singal”) with fraud relating to First Capital Real Estate Trust Inc. [read post]
4 Jun 2019, 7:56 am
GPB invests in a variety of businesses but primarily in auto dealerships and waste management businesses. [read post]
25 Sep 2018, 7:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Worden Capital Management LLC (Worden Capital) broker Michael Rosalia (Rosalia) has been subject to six disclosed customer complaints, eight tax liens or judgements, and two financial disclosures including bankruptcy. [read post]
5 Oct 2011, 5:54 pm
As always, you should consult an attorney who is familiar with securities regulatory issues in assessing whether your particular fund management business is required to register with the SEC. [read post]
21 Dec 2018, 12:22 pm
The post GPB Capital Holdings – Investigations appeared first on White Securities Law. [read post]
28 Jul 2020, 7:57 am
The investor’s claims arise out of recommendations to invest in GPB Automotive Portfolio, LP, a private placement managed by GPB Capital Holdings, LLC. [read post]
29 Jul 2019, 10:01 am
GPB Capital Holdings, a New York-based alternative asset management firm, has reportedly raised $1.5 billion in investor equity through various private placement offerings in the automotive retail and waste management sectors. [read post]
10 Jul 2007, 12:38 am
Sumir Chadha, managing director of Sequoia Capital India, will join Pangea3's board of directors. [read post]
6 Oct 2011, 3:19 pm
” A private fund manager that solely advises venture capital funds (as defined in SEC regulations) qualifies for an exemption from investment adviser registration under the Investment Advisers Act of 1940. [read post]
30 Dec 2021, 6:46 am
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities and investment fraud cases. [read post]
