Search for: "Investment Management Company LLC"
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6 Apr 2009, 10:48 pm
The Edwards campaign didn't immediately respond to a request for comment today.Separately, the Los Angeles Times reported today that former Massachusetts Governor Mitt Romney, a Republican candidate, used shell companies in at least two offshore havens while running Bain Capital LLC, the Boston-based private-equity firm. [read post]
22 May 2014, 9:05 am
Joseph Del Valle, 59, Aventura, Florida, an owner and partner of various investment companies, including Vanquish Acquisition Partners LLC and PM Capital Management LLC, which were based in Manhattan, New York, surrendered on charges of wire fraud and wire fraud conspiracy for operating a fraudulent scheme related to a Florida real estate development project. [read post]
19 Aug 2020, 10:45 am
” Kenyon Group, LLC served as the exclusive financial advisor to Venio Systems and arranged this transaction. [read post]
26 Nov 2009, 4:30 am
Kiley, both Minnesota residents, allegedly operated a foreign currency investment scam through their four main entities: UBS Diversified Growth LLC, Universal Brokerage FX Management LLC, Oxford Global Advisors LLC, and Oxford Global Partners LLC. [read post]
22 Aug 2019, 6:56 am
On August 13, 2019, the SEC filed a complaint against Stuart Frost and Frost Management Company, LLC for violating the antifraud provisions of Sections 206(1)-(2) and 206(4) of the Investment Advisers Act. [read post]
19 Feb 2009, 7:40 am
(a private offshore investment bank in Antigua), Stanford Group Co. and Stanford Capital Management LLC are subject to a fraud inquiry. [read post]
24 Oct 2012, 4:23 pm
Mason Capital Management LLC, 2012 BCCA 403, the British Columbia Court of Appeal considered the validity of a shareholder’s requisition for a general meeting of shareholders. [read post]
2 Feb 2023, 10:55 am
Investment Fraud Lawyer, Jake Zamasnky, Breaks Down Investment Fraud and FINRA Arbitration in Episode 1 of The Investment Lawyer Speaks Episode 1 Transcript 00:28 – Nancy Rapp, PaperStreet Hello, welcome to the Investment Lawyer Speaks a podcast produced by the Zamansky Law Firm. [read post]
18 Feb 2022, 10:02 am
Several days later, the regulator issued an order (Investment Company Act Rel. [read post]
21 Mar 2016, 8:54 am
Investment Services LLC, and Sethi Financial among others. [read post]
3 Jul 2021, 4:37 am
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements may not represent event completion, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and known event amounts. [read post]
26 Feb 2007, 9:45 am
Flink, charging them with making fraudulent representations in connection with investments by Crestview-managed funds (Crestview funds) in two registered direct offerings. [read post]
21 May 2019, 2:00 pm
He also is the general partner of Winfield Capital GP LLC, Winfield Capital Partners’ investment manager. [read post]
25 Nov 2020, 3:00 pm
Cartica Management LLC (“Cartica”) is a Washington D.C. [read post]
26 Jul 2011, 5:22 pm
About Opes Advisors Opes Advisors is a mortgage bank and wealth management firm offering integrated personal financial services encompassing real estate, real estate financing and investment management. [read post]
17 Sep 2014, 2:59 pm
Both companies were managed by Triple Net Properties where Tony Thompson was chief executive officer. [read post]
4 Aug 2019, 11:36 am
Turner & Company, LLC, Lexington, South Carolina— April 5, 2010 to May 18, 2012Gunnallen Financial, Inc., Lexington, South Carolina— April 14, 2008 to March 29, 2010Chase Investment Services Corp., Dayton, Ohio— February 22, 2006 to January 8, 2008 Thrivent Investment Management, Inc., Minneapolis, Minnesota— January 31, 2005 to February 22, 2006Scottrade, Inc., St. [read post]
4 Aug 2019, 11:36 am
Turner & Company, LLC, Lexington, South Carolina— April 5, 2010 to May 18, 2012Gunnallen Financial, Inc., Lexington, South Carolina— April 14, 2008 to March 29, 2010Chase Investment Services Corp., Dayton, Ohio— February 22, 2006 to January 8, 2008 Thrivent Investment Management, Inc., Minneapolis, Minnesota— January 31, 2005 to February 22, 2006Scottrade, Inc., St. [read post]
14 Feb 2020, 7:00 am
On January 27, 2020 a Clark County Nevada District Court Judge issued a judgment in the amount of $1,054,309 against Carlos Isaac III, the manager of two Nevada limited liability companies; Mackiernan, LLC and C13 Holding, LLC. [read post]
20 Mar 2012, 11:48 am
Mazzola, the Commission sued Frank Mazzola and two of his firms, Felix Investments LLC, and Facie Libre Management Associates LLC, for making false statements to investors. [read post]
