Search for: "Capital Management Securities"
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16 Nov 2010, 6:30 am
On Friday, The Securities and Exchange Commission will be considering rules that should be of interest to private investment fund managers. [read post]
18 Oct 2019, 10:51 am
According to reports today, Highland Capital Management LP, an investment firm, filed for Chapter 11 bankruptcy protection, amidst a legal battle with investors, a court filing showed. [read post]
29 Apr 2022, 1:43 pm
According to the SEC’s complaint, since at least August 2016, Medley allegedly overstated its assets under management by including “committed capital” amounts from non-discretionary clients. [read post]
4 Sep 2011, 1:54 pm
As always, you should consult an attorney who is familiar with securities regulatory issues in assessing whether your particular fund management business is required to register under state law. [read post]
30 Oct 2009, 1:43 am
The Treasury Inspector General for Tax Administration yesterday released the Top 10 management challenges facing the IRS for 2009-10: Modernization Security Tax Compliance Initiatives Implementing Tax Law Changes Providing Quality Taxpayer Service Operations Human Capital Erroneous and Improper Payments and Credits Globalization Taxpayer Protection and Rights Leveraging Data to Improve... [read post]
9 Oct 2012, 12:27 pm
Scam artists are increasingly capitalizing on the cachet of hedge funds. [read post]
7 Nov 2021, 7:09 am
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement (BrokeAndBroker.com Blog)Management Consulting Firm Partner Charged In Insider Trading Scheme / Defendant Was a Lead Consulting Firm Partner Advising an Investment Bank on Its Acquisition of GreenSky, Inc. [read post]
2 Mar 2017, 7:28 am
Update on American Realty Capital – Retail Centers of America Recently, Coastal Realty Business Trust, an affiliate of MacKenzie Capital Management LP, has completed its recent American Realty Capital – Retail Centers of America tender offer. [read post]
16 Aug 2012, 1:27 am
District for the District of Columbia against certain individual officers and directors of the now defunct Carlyle Capital Corporation (CCC), its investment manager and related entities. [read post]
19 Dec 2014, 7:54 am
In addition, Schorch also “resigned from the boards of directors of nontraded REITs managed by Cole Capital, a nontraded REIT sponsor owned by ARCP. [read post]
6 May 2020, 9:12 am
Scott Silver, managing partner of Silver Law Group, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
16 Aug 2018, 5:48 pm
Meantime, Fulton is now the managing director of ProShares, which provides ETFs. [read post]
31 Jul 2017, 1:10 pm
The post FINRA Fines RBC Capital Markets for Compliance Issues appeared first on White Securities Law. [read post]
22 Sep 2011, 11:40 am
In addition, the manager of the fund does not pay social security or Medicare taxes on the portion of the fund’s profits allocated to the manager, as he would if he were earning it as wages or were otherwise self-employed. [read post]
17 Mar 2020, 12:36 pm
They may offer well-integrated tools to manage credentials and security tokens and help reduce the effort required to manage incident detection and response programs. [read post]
14 Jul 2017, 7:37 am
The post Four Springs Capital Trust Withdraws IPO appeared first on White Securities Law. [read post]
24 Mar 2010, 10:25 am
Henning of White Collar Watch examines how the Securities and Exchange Commission provided another example of its mishandling of investigations in a case involving Allied Capital and the hedge fund manager David Einhorn. [read post]
27 May 2010, 8:52 am
The once-prominent hedge fund, Pequot Capital Management, and its chief executive agreed to settle a Securities and Exchange Commission complaint accusing them of insider trading involving Microsoft shares. [read post]
23 Jul 2010, 12:49 pm
The Securities & Exchange Commission is giving out $1 million for information provided in its insider trading case against Pequot Capital Management, Inc. - the biggest reward in agency history for such a case. [read post]
24 May 2010, 4:30 pm
On May 18, 2010, "The Committee to Protect IMH Secured Loan Fund" filed a statement with the SEC advising members to reject management's restructuring plan. [read post]
