Search for: "Shell Investments, LLC"
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8 Apr 2022, 5:50 am
Social Contagion and the Survival of Diverse Investment Styles Posted by David Hirshleifer (USC), Andrew W. [read post]
8 Apr 2022, 5:50 am
Social Contagion and the Survival of Diverse Investment Styles Posted by David Hirshleifer (USC), Andrew W. [read post]
1 Apr 2022, 6:01 am
What to Look For in the 2022 Proxy Season Posted by Blair Jones, Sarah Hartman, and Austin Vanbastelaer, Semler Brossy LLC, on Thursday, March 31, 2022 Tags: COVID-19, ESG, Executive Compensation, Human capital, Institutional Investors, Proxy advisors, Proxy season, Proxy voting, Say on pay, Shareholder voting The COVID-19 Pandemic’s Fleeting and Lasting Impact on Executive Compensation Posted by Mike Kesner, Linda Pappas, and… [read post]
4 Mar 2022, 8:00 am
The SEC alleges that Justin Robert King and his company, Elevate Investments LLC, “were offering interests in the Elevate Investment Fund despite the fact that no such fund entity exists” and that “all investor money was held in brokerage and bank accounts in the name of King, his wife, and/or Elevate. [read post]
28 Feb 2022, 5:18 am
The Risks of Investing in SPACs Like all investments, there are risks that come with investing in SPACs. [read post]
15 Feb 2022, 2:05 pm
GigAcquisitions3, LLC. [read post]
8 Feb 2022, 12:58 pm
Legacy was apparently a shell company he purportedly created that offered no investment products, according to the charges. [read post]
28 Jan 2022, 3:59 am
& N.J., 189 AD3d 1624, 1626; Sokol v Leader, 74 AD3d 1180, 1181), alleges that the last wrongful act was in December [*2]2006, when Allen, having exhausted all of his liquid assets, and at the urging of Devine and his cohorts, borrowed more than $20 million against a bond portfolio and wired the proceeds to the alleged shell entity. [read post]
21 Jan 2022, 2:17 pm
LLC, J.P. [read post]
21 Jan 2022, 2:17 pm
LLC, J.P. [read post]
19 Jan 2022, 1:21 pm
Renaissance Technologies, LLC. [read post]
19 Jan 2022, 1:21 pm
Renaissance Technologies, LLC. [read post]
7 Jan 2022, 2:20 pm
Interactive Brokers LLC – In a more traditional CFTC action, the brokerage firm Interactive Brokers LLC agreed to pay $84.3 million in penalties and restitution for its alleged mishandling of consumer accounts. [read post]
7 Jan 2022, 2:20 pm
Interactive Brokers LLC – In a more traditional CFTC action, the brokerage firm Interactive Brokers LLC agreed to pay $84.3 million in penalties and restitution for its alleged mishandling of consumer accounts. [read post]
16 Nov 2021, 6:08 am
” There is no statute or regulation that precludes a privately held corporation from merging with a shell company in order to obtain access to the capital markets and the investing public, said the SEC.The SEC noted that Forum is a shell company and a non-reporting issuer that is not required to comply with the reporting requirements of the federal securities laws. [read post]
5 Nov 2021, 4:00 am
Senate and presidential candidates, including Donald Trump in 2016, through shell corporations. [read post]
27 Oct 2021, 8:07 am
Investing in China and Off-Shore Shell Companies – The Evergrande saga has brought the risks of investing overseas into sharp focus, but this is far from the only issue we’ve seen in recent years. [read post]
20 Oct 2021, 7:35 am
A special purpose acquisition company is a shell company that raises money from investors for purposes of acquiring a private company that the SPAC intends to take public. [read post]
10 May 2021, 3:56 am
The sponsor LLC is subject to the same trials and tribulations of any LLC as far as rights, duties, and potential conflicts among the members. [read post]
12 Apr 2021, 11:33 am
Broker dealers like LPL Financial LLC owe a duty to supervise their brokers and ensure that their customers’ funds are invested appropriately and breaching these duties could make them liable for the losses incurred by the investors. [read post]
