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22 Mar 2022, 12:31 pm
The letters allegedly state that GPB Capital was in the process of registering certain classes of securities issued as limited partnerships with the SEC. [read post]
24 Jun 2017, 9:53 am
Troy Baldridge was suspended and barred by FINRA Troy Baldridge, a registered representative from Richmond, Virginia, formerly with Capital Securities Management and Capital Securities & Associates was barred from FINRA membership as a result of refusing to cooperate with a FINRA investigation. [read post]
1 Dec 2016, 7:56 am
Pershing Square Capital Management has found itself in the unenviable position of having to seek absolution from the Securities and […] [read post]
28 Apr 2023, 8:20 am
He pointed to the recently adopted proxy vote disclosure rules which will require emerging fund managers who file on Schedule 13F because they hold more than $100 million in equity securities to file Form N-PX for the very first time. [read post]
21 Jun 2019, 2:41 pm
The post GPB Capital Discloses It’s Two Biggest Funds Have Declined Significantly In Value appeared first on Securities Arbitration Lawyers Blog. [read post]
12 Oct 2020, 6:48 am
According to the SEC’s adopting release, the new disclosure should include any human capital measures or objectives that management focuses on in managing the business, to the extent such disclosures would be material to an understanding of the registrant’s business. [read post]
5 Jul 2012, 3:00 am
Christine Baker, director of the Department of Industrial Relations (DIR), today approved the implementation of the 2012/13 Alternative Security Program (ASP), freeing $6.17 billion in capital, giving self-insured California businesses greater financial flexibility. [read post]
10 Apr 2023, 11:49 am
Arete Complaints involving GPB Capital In February 2021, Arete Wealth Management lost a $515,000 arbitration claim for losses involving high-risk private placements managed by GPB Capital Holdings. [read post]
25 May 2021, 5:55 am
Trends and observations Background In August 2020, the Securities and Exchange Commission (SEC) introduced an important new requirement for registrants to provide disclosures about human capital. [read post]
30 Nov 2021, 2:05 pm
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]
17 Jul 2019, 8:22 am
American Realty, under new management, is now called Vereit Inc. [read post]
28 Oct 2019, 3:49 pm
The list of broker-dealers who sold or were authorized to sell GPB securities includes: Continue reading The post GPB Capital Compliance Chief Charged with Obstruction of Justice by U.S. appeared first on Investor Lawyers Blog. [read post]
10 Nov 2016, 8:29 am
Now the auditor partner is subject to charges by the Securities and Exchange Commission. [read post]
13 May 2010, 9:16 am
The SEC has filed securities fraud charges against the private equity firm, Onyx Capital Advisors LLC, its founder Roy Dixon Jr., and his friend Michael Farr. [read post]
25 Mar 2021, 6:26 am
Securities and Exchange Commission. [read post]
1 Jan 2015, 5:48 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Arque Capital, Ltd. [read post]
18 Dec 2007, 10:44 pm
Pearson Capital Management LLC was censured and fined $5,000 because it failed to meet market maker requirements. [read post]
12 Oct 2020, 1:06 pm
GPB Capital Investments Don’t Perform For Investors GPB Capital Holdings is an alternative asset management company founded in 2013 by Scientologist David Gentile. [read post]
16 Dec 2010, 4:13 am
Capital Management Inc. [read post]
14 Jun 2011, 8:15 am
On June 13, however, the Court issued a 5-4 opinion favoring securities fraud defendants in Janus Capital Group, Inc. v. [read post]
