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15 Dec 2014, 4:44 pm
However, the Advisers Act and some state securities laws consider the manager or general partner of an investment fund as the investment adviser of that fund, if the fund invests in securities (loans and equity investments in project companies are considered securities). [read post]
7 Nov 2011, 3:00 am
The petitioner in Gold is a 25% member and the respondent Kanter is a 75% member of a member managed LLC called Cosmo Holdings LLC formed in 2007 to invest in other companies. [read post]
11 Dec 2023, 1:18 pm
That means a Virginia corporation, LLC, or LP is a Reporting Company under the CTA, but a Virginia general partnership is not. [read post]
8 Apr 2022, 2:05 am
Regulatory Affairs, Managed Funds Association (Washington, DC) Corporate Counsel, LS Power (Saint Louis, MO) Sr. [read post]
25 Apr 2013, 11:03 am
When a broker misrepresents an investment, commits fraud, or misappropriates clients funds, the brokerage firm can be liable for investment losses. [read post]
30 Dec 2013, 6:33 am
Thereafter, FINRA alleged that Isaacs negligently misrepresented to the customers that an investment in CIP Leverage Fund Advisors, LLC (CIP) was for moderately conservative investors and would pay interest to the investors on a monthly basis. [read post]
7 Nov 2013, 9:00 am
In their lawsuit, Lawson and Zang claim that their employers – a group of privately-owned Fidelity subsidiaries that serve as “investment advisers” to publicly-held Fidelity mutual funds – retaliated against them for raising concerns about fraud. [read post]
16 Oct 2012, 11:21 am
Large corporations that file bankruptcy, especially those who have received taxpayer funding, should be held to an extremely high standard regarding any proposed bankruptcy plan. [read post]
18 Jan 2012, 2:40 pm
Tortora and caused insider trades at his firm; and • Danny Kuo, a vice-president and fund manager at an investment adviser who also was tipped by Mr. [read post]
21 Jan 2016, 8:46 am
According to B Lab, many lead VC funds have invested into benefit corporations. [read post]
26 May 2015, 11:32 am
Specifically, according to FINRA, LPL failed to properly supervise its representative’s sale of non-traditional exchange traded funds (“non-traditional ETFs”), variable annuities, mutual funds, and illiquid or non-exchange-traded real estate investment trusts (“non-traded REITs”). [read post]
30 Sep 2013, 12:28 pm
Hernandez filed the Wealth Management Partners, Team Cure Racing, and DFHR Investments corporate formation documents before he joined AXA. [read post]
22 Feb 2023, 1:07 pm
Patent TPLF funds generally promise roughly 20% internal rates of return to funders (IRR) year-over-year, or about a 2x to 2.5x return on investment over generally four- or five-year investment cycles, suggesting, at least at the pitch level, that these investments are lucrative for the funders.[15] The biggest (or at least most well-known) players—Magnetar Capital, Burford Capital, Fortress Investment Group, Omni Bridgeway, and Curiam… [read post]
9 Jan 2014, 11:58 am
When broker-dealers knowingly mislead investor or sell unsuitable investments they can be liable for investment losses. [read post]
5 Oct 2018, 8:25 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
5 Oct 2018, 8:25 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
26 Jun 2015, 7:30 am
According to Jones’ BrokerCheck records, Jones has a number of other disclosed outside businesses including Capital Region International, LLC, A.B.R.C., and Synergex International Corporation. [read post]
12 Dec 2011, 1:18 pm
Urgent Cares of America, now FastMed Urgent Care, launched its new corporate identity in May. [read post]
26 Oct 2009, 2:22 pm
The other defendants are Rajiv Goel, who worked at Intel Capital as a director in strategic investments; Anil Kumar, who worked as a director at McKinsey & Co.; International Business Machines Corp. executive Robert Moffat; Mark Kurland, co-founder of New Castle Funds LLC, a former Bear Stearns Cos. hedge fund; and Danielle Chiesi, a former consultant at New Castle. [read post]
27 May 2020, 7:15 am
According to its website, Pacific Oak Strategic Opportunity REIT, Inc. is a public, non-traded corporation headquartered in Los Angeles, California, that has elected to be taxed and currently qualify as real estate investment trusts and invest in opportunistic real estate and other real estate-related investments. [read post]
