Search for: "Capital Management Securities"
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13 Feb 2012, 9:44 am
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
30 Mar 2011, 2:48 pm
While Securities America's proposal represents its attempt to manage its exposure by settling for a sum certain, the offer was reportedly extended only to investors with existing arbitration claims, and does not provide for claims that may yet be filed in the future. [read post]
15 Oct 2019, 10:10 am
The defendants, for example, at year-end 2018, allegedly represented that Mediatrix Capital had $225 million under management, but in reality, the firm allegedly had approximately $35.3 million in assets under management, or less than 16% of the amount claimed, the Complaint states. [read post]
15 Oct 2019, 10:10 am
The defendants, for example, at year-end 2018, allegedly represented that Mediatrix Capital had $225 million under management, but in reality, the firm allegedly had approximately $35.3 million in assets under management, or less than 16% of the amount claimed, the Complaint states. [read post]
19 Dec 2018, 11:43 am
According to his FINRA BrokerCheck report, Lopez was reportedly a registered representative with Country Capital Management Company in Springfield, Illinois from September 2008 until September 2018 when he was discharged. [read post]
12 Apr 2020, 7:10 am
Nearly every aspect of the offering raised unanswerable questions from GPB Capital’s senior management, fantastical business claims, and intra-fund lending practices. [read post]
24 May 2022, 6:24 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. [read post]
3 May 2018, 4:40 pm
As a publicly registered non-traded REIT, Griffin Essential was permitted to sell securities to the investing public at large, including numerous unsophisticated retail investors who bought shares through the IPO upon the recommendation of a broker or money manager. [read post]
10 Mar 2019, 11:26 am
ATEL Capital Group, a financial services company, offers its clients equipment leasing, asset-based lending, venture leasing, lease administration, and asset management, according to its website. [read post]
9 May 2019, 9:48 am
$1.5 Billion of Risky GPB Capital Holdings Sold by Multiple B-D’s Advisers; GPB Capital Allegedly a Year Late Reporting Pertinent Financial Info GPB Capital Holdings, a New York-based investment firm that offers exempt, private-placement securities, is allegedly a year overdue in making financial information public, according to SEC Reports under review by investor rights attorney Alan Rosca. [read post]
15 May 2020, 9:05 am
Mackenzie Realty Capital, Inc. is an externally managed non-diversified company that has elected to be treated as a business development company (BDC). [read post]
3 Oct 2023, 2:28 pm
We represents real estate developers, EB-5 Regional Centers, private fund managers and registered securities broker-dealers and advisors with respect to capital raising. [read post]
20 Mar 2023, 4:58 am
iCONECT management have identified common business challenges for organizations in the areas of data security, governance, extraction, privacy, sharing and compliance across industries beyond standard legal eDiscovery. [read post]
14 Dec 2023, 11:05 am
Now I’m scratching my head and wondering if the USDA has jurisdiction on cattle capital. [read post]
13 Aug 2019, 10:34 pm
Securities and Exchange Commission (SEC), the FBI, and the New York Business Integrity Commission are reportedly investigating GPB Capital Holdings LLC (“GPB”). [read post]
1 Mar 2017, 8:14 am
Long-term Capital Management was forced to close down in 2000. [read post]
18 Jan 2012, 6:08 pm
Second, the fund manager must also include uncalled capital commitments. [read post]
7 Feb 2018, 10:23 am
GPB Capital is a New York-based alternative asset management firm focusing on acquiring income-producing private companies. [read post]
19 Feb 2012, 11:44 am
On Feb. 14, Judge Sweet (S.D.N.Y.) handed down a 128 page opinion finding that Pentagon Capital Management PLC (PCM) and Lewis Chester violated federal securities laws by orchestrating a scheme to defraud mutual funds through late trading. [read post]
3 Jun 2021, 6:20 am
SEC says LJM Management Misled Investors leading to Massive Trading Losses in 2018 The White Law Group continues to investigate potential claims involving broker dealers who may have improperly recommended LJM Capital Preservation & Growth Fund to investors. [read post]
