Search for: "Investment Management Company LLC"
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1 Apr 2021, 5:53 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]
25 Jul 2022, 11:07 am
Investment Management Company Reportedly Fined for High Mutual Fund… or SEC Charges Western International & Reps with Reg BI Violations… RIAs are Required to Disclose Conflicts of Interest Registered investment advisors are obligated to disclose all material facts to their advisory clients, including any conflicts of interest between it and its clients, which could affect the advisory relationship. [read post]
8 Apr 2021, 9:04 am
” Adam Clammer, Chief Executive Officer of TWC Tech Holdings, said: “At True Wind Capital we are focused on investing in leading technology companies, and the Cellebrite opportunity ticks all the boxes on our wish list for a long-term investment in a public company. [read post]
17 Jan 2017, 4:00 am
With an LLC, there is no required distinction between the members and managers of the company. [read post]
5 Jun 2009, 2:24 am
Greenleaf Companies, LLC, Eric C. [read post]
30 Jun 2020, 2:27 pm
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements are intent-based and not the actual completion of an event, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and event amount (if known). [read post]
30 Jan 2007, 10:32 pm
The High Court, by a 6-1 majority, in Sons of Gwalia Ltd v Margaretic; ING Investment Management LLC v Margaretic [2007] HCA 1 has dismissed the appeals from the decision of the Full Court of the Federal Court of Australia in Sons of Gwalia Limited (Subject to Deed of Company Arrangement) v Margaretic [2006] FCAFC 17 which affirmed that an on-market purchaser (as opposed to a subscribing shareholder) of shares can in a winding up prove for damages against the… [read post]
29 Mar 2020, 7:56 am
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements are intent-based and not the actual completion of an event, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and event amount (if known). [read post]
8 Sep 2008, 11:30 am
Bucaria, dissolving and appointing a receiver for a manager-managed LLC owned by two brothers. [read post]
11 Jul 2016, 1:41 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The enforcement action brought by the SEC claims that WFG Advisors overbilled for investments in REITs and Business Development Companies (BDCs). [read post]
19 Mar 2010, 7:07 am
Today the Financial Industry Regulatory Authority (FINRA) announced that it has expelled Provident Asset Management, LLC, the affiliate broker-dealer of Provident Shale Royalties that marketed the fraudulent Ponzi scheme private placement investments. [read post]
1 Jan 2021, 6:14 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. eDiscovery Mergers, Acquisitions, and Investments in Q4 2020 Based on an aggregate review of the abridged listing through the lens of Q4 2020, the following… [read post]
28 May 2019, 9:15 am
Electronic discovery company KLDiscovery says it has entered into an agreement to merge with Pivotal Acquisition Corp., a public investment vehicle, in a deal valued at $800 million that will result in KLD becoming a publicly listed company. [read post]
19 Nov 2018, 3:46 am
As pertains to LLCs, the only choices are “LLC member-manager” or “other LLC member. [read post]
14 Oct 2013, 3:32 am
Schweitzer examined a disputed LLC freeze-out merger involving a realty management company. [read post]
25 Nov 2012, 10:12 am
Barthelemy agreed to be barred from the securities industry and from associating with an investment company, with the right to reapply after two years. [read post]
18 Oct 2016, 7:36 am
After the trades were executed, Balter allocated the profitable trades to his own accounts and the unprofitable trades to his client accounts.Batler who runs Oracle Investment Research also falsely told clients that if they invested in his affiliated mutual fund they would not pay both advisory fees and fund management fees, yet both fees were charged.The SEC alleges that Balter violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5, Section 17(a) of… [read post]
30 May 2012, 7:43 pm
(the "Fund"), along with GLR Capital Management, LLC ("GLR Capital"), which acted as the Fund's general partner, and GLR Advisors, LLC ("GLR Advisors"), which acted as investment advisor to the Fund. [read post]
8 Oct 2015, 4:37 pm
According to the company’s press release the name change coincides with “the company’s three-year evolution from a single-purpose investment provider into an independent investment management platform with selected portfolio managers and specialized strategies[.] [read post]
19 Sep 2013, 4:46 pm
The marketing material lacked sufficient disclosures regarding the risks of investing, including potential loss of principal, concentration of investment, leverage, management fees, lack of liquidity, and conflicts of interest between the manager and the investors. [read post]
