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23 Oct 2019, 1:31 pm
Cohn was an employee of the United States Securities and Exchange Commission (SEC) when he left the commission for a position with GPB Capital Holdings. [read post]
31 May 2024, 11:27 am
Murray Founded Trillium Capital as an investment management firm, where he serves as the Managing Partner. [read post]
26 Apr 2011, 5:34 am
Both Medical Capital and Provident Royalties were charged with fraud by the Securities and Exchange Commission (SEC) in July 2009. [read post]
29 Mar 2019, 9:18 am
In other words, in a real estate deal, in addition to mortgage or other secured debt, there may be equity investors and managers who participate in distributions based on the performance of the LLC. [read post]
7 May 2021, 1:14 pm
In other words, in a real estate deal, in addition to mortgage or other secured debt, there may be equity investors and managers who participate in distributions based on the performance of the LLC. [read post]
30 Sep 2018, 11:24 am
Claims may be brought in securities arbitration before FINRA. [read post]
5 Oct 2020, 9:05 pm
Ill-fitting regulatory requirements can keep (or, at a minimum, delay) new investment options, capital-raising techniques, methods of detecting and preventing misconduct, and ways of transacting in securities from taking root. [read post]
20 Aug 2019, 3:29 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, the State of Massachusetts, and the New York Business Integrity Commission are investigating GPB Capital Holdings LLC (“GPB”) for financial misconduct. [read post]
14 Feb 2011, 2:13 pm
Lawton, a former resident of Minneapolis, Minnesota now believed to be residing in San Francisco, California and Crossroad Capital Management, LLC, the investment adviser to hedge fund Paramount Partners, LP. [read post]
26 May 2009, 11:59 am
Lopez, the company's operations manager, was arrested in Miami on Tuesday. [read post]
1 Mar 2017, 11:24 am
It does that by requiring that all investors in the capital and equity markets receive significant information concerning the securities being offered for sale to the public. [read post]
27 Feb 2018, 7:28 am
Pricing of securities offerings. [read post]
3 Nov 2011, 2:20 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]
16 Dec 2019, 7:29 am
Claims may be brought in securities arbitration before FINRA. [read post]
29 Nov 2019, 6:41 am
On 28 November 2019, the European Banking Authority (EBA) published its final guidelines on ICT and security risk management (the Guidelines). [read post]
27 May 2019, 8:05 am
In July 2018, Victory Capital in Cleveland, Ohio announced that it was buying Harvest Volatility Management, which reportedly was managing $12 billion in assets at the time. [read post]
7 Jan 2020, 8:30 am
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
26 Sep 2014, 7:15 am
The SEC charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. [read post]
2 Nov 2013, 6:05 am
Raising capital is not much different and is often a difficult, tedious, and frustrating process. [read post]
17 Jun 2011, 1:08 am
In Janus Capital Group, Inc. and Janus Capital Management LLC v. [read post]
