Search for: "Capital Management Securities"
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31 Aug 2017, 2:11 pm
"The asset management industry is more important than ever to American investors and to our capital markets. [read post]
24 Feb 2016, 11:27 am
In 2013, Western Property Holdings LLC sued Aequitas Capital Management Inc. [read post]
1 Nov 2013, 1:16 pm
According to the Behringer Harvard website, on May 9, 2013 the company along with Prospect Capital Management announced the initial public offering of Priority Senior Secured Income Fund (PSSI). [read post]
29 Jul 2019, 6:51 am
The post GPB Capital Sued By Business Partner, Accused Of “Serious Financial Misconduct” appeared first on Securities Arbitration Lawyers Blog. [read post]
31 Oct 2020, 7:03 am
On August 26, 2020, the United States Securities and Exchange Commission (SEC) adopted final amendments under Regulation S-K as part of a Disclosure Effectiveness Initiative to modernize and improve corporate disclosures which will become effective on November 9, 2020. [read post]
18 Jul 2011, 2:12 pm
The question in this case was "whether Janus Capital Management LLC (JCM), a mutual fund investment adviser, can be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b-5 for false statements included in its client mutual funds' prospectuses. [read post]
24 Jun 2019, 6:06 am
The tool enhanced both knowledge management and competitive intelligence efforts. [read post]
6 Jun 2011, 5:21 am
May, 2011 – Brad Carr and Kathleen Hart of Andersen, Tate & Carr, P.C. represented Highwinds Capital, Inc. in securing a new $50 million credit facility with Silicon Valley Bank and Comerica Bank. [read post]
20 May 2013, 9:43 am
Proposed Washington Regulations Here is the relevant WAC provision in the proposed rules regarding exemption for venture capital fund managers: WAC 460-24A-072 Registration exemption for investment advisers to venture capital funds [read post]
17 Oct 2010, 7:42 pm
The SEC charged Palm Beach Capital Management and fund managers Bruce Prevost and David Harrold with committing federal securities fraud by misleading investors about the quality and nature of their investments with Thomas Petters, who was convicted of running a $3.65 billion Ponzi scheme. [read post]
22 May 2017, 8:05 am
The post First Capital Investment Corporation BDC Investment Losses appeared first on White Securities Law. [read post]
3 Jan 2020, 7:09 am
The post SEC Charges Against GPB Capital Likely On The Horizon appeared first on Securities Arbitration Lawyers Blog. [read post]
23 Feb 2009, 10:33 pm
The Consultation Paper discusses ASIC's expectations that the issuer of securities during a placement or other capital raising must take steps to ensure: the market is fully informed at all relevant times; investors are fully informed before they agree to buy securities; retail investors are able to participate in equity capital raisings, to the extent possible and at a fair price; and there is minimal risk of any unacceptable transfer of control… [read post]
27 May 2010, 10:28 am
The founder of hedge fund Pequot Capital Management settled insider-trading allegations by the Securities and Exchange Commission after a four-year probe. [read post]
24 Mar 2010, 11:32 pm
The U.S. securities regulator is probing hedge funds Appaloosa Management and Carlson Capital for certain trades, The Wall Street Journal said, citing people familiar with the matter. [read post]
8 Oct 2015, 4:37 pm
Behringer Securities LP announced that it has changed its name to Provasi Capital Partners LP. [read post]
5 Apr 2021, 6:48 am
Arete Wealth Management has already been ordered to pay $515,000 to its customers in a separate FINRA arbitration case. [read post]
5 Mar 2019, 6:54 am
As previously reported, both the SEC and FINRA have reportedly commenced investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
9 Mar 2021, 11:08 am
Press Announcement Compliance Announces Oaktree Capital Investment in Parent Company System One and Compliance to Advance Aggressive Acquisition Strategy Compliance, an integrated eDiscovery services and managed review provider, today [March 9, 2021) announced that Oaktree Capital Management, L.P. [read post]
13 Apr 2023, 8:03 am
Daxton White, managing partner of The White Law Group, a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
