Search for: "Private Funding Management Inc"
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12 Nov 2019, 10:35 am
Zhou purportedly formed Zhou Fund I LLC, a private real estate fund managed by Zhou’s real estate company on June 4, 2018, filing a notice of exempt offering of securities with the Securities and Exchange Commission. [read post]
8 Nov 2023, 9:05 pm
Mutual funds are set up by investment management companies, are available to the general public, and are regulated by the Securities and Exchange Commission (SEC). [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
23 May 2014, 5:00 am
Dimensional, a private equity fund, was owned by JDS Capital, a firm founded by Joseph Samberg. [read post]
8 May 2024, 2:26 pm
” Fiduciaries have no obligation to take into account the government’s failure to properly manage the Trust Fund when designing and monitoring their plans. [read post]
28 May 2009, 4:37 pm
Stonehenge manages over $677 million across venture capital, private equity and debt funds, operating out of regional offices across the United States. [read post]
8 Jul 2013, 8:13 pm
While these strategies are all additional considerations for private equity investors when contemplating the strength of a potential physician-owned hospital in the current challenging regulatory environment, many PE funds still have their doubts. [read post]
5 May 2013, 7:33 pm
” Private funding of activities by state employees has stirred up controversy over the years in California. [read post]
26 May 2023, 6:30 am
Securities and Exchange Commission, on Saturday, May 20, 2023 Tags: Asset management, Cybersecurity, Fiduciary duties, Private funds, registered funds, SEC enforcement, Securities Act The State of Climate Investing Posted by Chris Goolgasian and Cheryl Duckworth, Wellington Management, on Sunday, May 21, 2023 Tags: Asset Managers, Climate change, climate disclosures, climate investing, ESG, Private equity Anatomy of a Run: The… [read post]
26 May 2023, 6:30 am
Securities and Exchange Commission, on Saturday, May 20, 2023 Tags: Asset management, Cybersecurity, Fiduciary duties, Private funds, registered funds, SEC enforcement, Securities Act The State of Climate Investing Posted by Chris Goolgasian and Cheryl Duckworth, Wellington Management, on Sunday, May 21, 2023 Tags: Asset Managers, Climate change, climate disclosures, climate investing, ESG, Private equity Anatomy of a Run: The… [read post]
16 Mar 2020, 12:43 pm
Accordingly, if a business anticipates any risk of inability to fund already accrued or impending funding obligations, management should contact experienced legal counsel for immediate assistance with addressing these potential risks. [read post]
23 May 2014, 5:05 am
Hampton allegedly used the space to operate a private hedge fund, Hampton Capital Management (HCM). [read post]
5 Mar 2019, 9:56 am
The visit took place a few months after both the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) launched separate probes into the firm, which claims to have raised $1.8B from accredited, high net worth investors via private placement funds invested in waste management and car dealerships. [read post]
24 Feb 2016, 11:27 am
In 2013, Western Property Holdings LLC sued Aequitas Capital Management Inc. [read post]
2 Feb 2016, 6:03 pm
The act permits private individuals to sue on behalf of the government those who falsely claim federal funds, or cause others to do so, and to receive a share of any funds recovered through the lawsuit. [read post]
22 Mar 2017, 12:53 pm
American Finance Trust, Inc. is a real estate investment trust launched and managed by American Financial Advisors, LLC. [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial Services, Inc., Jesup &… [read post]
13 Sep 2010, 1:08 pm
Transamerica Mortgage Advisors, Inc. v. [read post]
31 Jul 2013, 5:10 pm
Since the earliest days of ERISA, the EBSA as well as private plaintiffs have aggressively enforced these and other fiduciary responsibility rules. [read post]
27 Sep 2010, 7:00 am
Through the In-state Private Equity Program, the Fund invests with private equity managers who seek to invest in companies in New York state that require capital for growth. [read post]
