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23 Nov 2011, 6:04 am
Securities and Exchange Commission (SEC) announced that Randall Merk (Merk), former Executive Vice President of Charles Schwab & Co., Inc. and President of Charles Schwab Investment Management, has agreed to pay a $150,000 fine to settle charges brought against him in connection with Schwab's YieldPlus Fund. [read post]
19 Nov 2011, 7:14 am
The Malaysia Fund Inc. is a closed-end investment company launched and managed by Morgan Stanley in 1987 to invest in the equity securities of Malaysian companies. [read post]
14 Nov 2011, 2:13 pm
Also, a member of the board of Mariner Energy Inc., an oil and gas company, was charged for trading on confidential information about its impending takeover. [read post]
14 Nov 2011, 12:38 am
The bank’s failure, which came just 15 months after its publicly traded holding company spun out of Temple-Inland, Inc., was, the Treasury Department Office of Inspector General later concluded, due to the bank’s heavy investment in Option ARM mortgage-backed securities. [read post]
20 Oct 2011, 10:11 pm
Credit ratings agencies had downgraded over 80% of the portfolio. [read post]
12 Oct 2011, 7:24 am
The amounts add up: “Now there are foreclosures that leave banks holding the bag on more than $100,000 in debt,” says Michael Cramer, president and chief executive of Dyck O’Neal Inc., an Arlington, Texas, firm that invests in debt. [read post]
11 Oct 2011, 5:00 am
Clayton Peterson served on the board of directors for Mariner Energy Inc. [read post]
6 Oct 2011, 5:38 am
Often, these rogue sales wind up harming clientsandrsquo; investment portfolios. [read post]
29 Sep 2011, 1:38 pm
In the 2002 action In re Kolar, Exchange Act Rel. [read post]
FORMER PORTFOLIO MANAGER AT HEDGE FUND INVESTMENT ADVISOR DIAMONDBACK CAPITAL MANAGEMENT SUED BY SEC
1 Sep 2011, 5:55 am
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
18 Aug 2011, 5:04 am
The SEC further alleged that Headstart was given this permission in exchange for investing in a hedge fund that one of the officer’s managed. [read post]
16 Aug 2011, 4:00 am
Securities and Exchange Commission ("SEC") during an investigation into his trading. [read post]
16 Aug 2011, 4:00 am
Securities and Exchange Commission ("SEC") during an investigation into his trading. [read post]
30 Jul 2011, 2:31 am
Brookfield Investment Management Inc. is an SEC registered investment advisor, and with its affiliates had approximately $24 billion in assets under management as of June 30, 2011. [read post]
27 Jul 2011, 12:08 pm
Today, the United stated Securities andamp; Exchange Commission following its examination of 11 broker-dealers, found that the certain brokerage firms may have recommended these complex reverse convertible notes even though they were not suitable for their portfolios. [read post]
18 Jul 2011, 2:00 am
” A venture capital fund is a private fund that (1) holds no more than 20 percent of its aggregate capital commitments (other than short-term holdings) in non-qualifying investments; (2) does not borrow or otherwise incur leverage, other than by engaging in limited short-term borrowings (excluding certain guarantees of qualifying portfolio company obligations by the fund); (3) does not offer its investors redemption or other similar liquidity rights except in extraordinary… [read post]
4 Jul 2011, 10:13 am
When Desert Capital began its investment strategy in 2004, it stated that its intent to either list Desert Capital REIT, Inc. stock on a national exchange or begin the liquidation of its portfolio by December 2011. [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon… [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon… [read post]
22 Jun 2011, 12:22 pm
In March 2007, when adverse market conditions began to affect the fund, over 54 percent of the portfolio was invested in asset-backed and mortgage-backed securities, and 13.5 percent was invested in subprime products. [read post]
