Search for: "Capital Management Securities"
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17 Jun 2019, 1:29 pm
The acquisitions were funded in part by $25 million financing from a credit fund managed by Morgan Stanley Expansion Capital, the growth-focused private investment platform within Morgan Stanley Investment Management. [read post]
21 Jun 2010, 11:36 am
Glass-Steagall separated commercial banking and securities activities. [read post]
17 Feb 2022, 9:10 am
The Securities and Exchange Commission today charged James Velissaris, the former Chief Investment Officer and founder of Infinity Q Capital Management, with overvaluing assets by more than $1 billion while pocketing tens of millions of dollars in fees…Read the Full Press ReleaseHave a securities law question? [read post]
2 May 2018, 7:30 am
” Most of these real estate fund managers are truly focused on real estate and not securities. [read post]
19 Aug 2019, 7:28 am
John Reed Stark The Capital One data hack has attracted a great deal of attention, not least because of the size and extent of the breach, but also because the hacker apparently managed to steal data from The Cloud. [read post]
23 Apr 2010, 3:05 pm
Regent Communications, Inc. and Resilient Capital Management, LLC have reached a settlement of Resilient's attempt to have an Official Committee of Equity Security Holders and its challenge to Regent's plan of reorganization. [read post]
21 Jul 2009, 7:05 am
The White House proposed legislation to Congress last week that would require investment advisors to private equity, venture capital and hedge funds with more than $30 million in assets under management to register with the Securities and Exchange Commission (SEC). [read post]
23 Sep 2011, 4:51 pm
Reported in the Sacramento Bee by Nathaniel Miller is the issuance of criminal complaints against five people related to Diversified Management Consultants, Inc. for running a Ponzi scheme (Ponzi is capitalized because it is named after the first such schemer). [read post]
30 Jun 2010, 6:04 pm
The US Supreme Court has agreed to review a securities fraud appeal filed by Janus Capital Corp. [read post]
6 Aug 2019, 3:09 pm
Consider the Capital One data breach. [read post]
2 Jan 2018, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. [read post]
Eccleston Law Investigates Hedge Fund Manager Arthur Nadel and his Feeder Funds for Securities Fraud
17 Dec 2010, 2:51 pm
Nadel managed the following companies and funds that he used to defraud investors: SCOOP CAPITAL, LLC, SCOOP MANAGEMENT, INC. [read post]
1 Oct 2019, 11:20 am
On August 20, 2019, the Securities and Exchange Commission (“SEC”) charged Mosaic Capital, LLC, formerly known as AOC Securities, LLC (“AOC”), and its CEO with failing to adequately supervise an employee who engaged in securities fraud. [read post]
10 Apr 2015, 10:05 am
Finally, the bill removes the requirement that a manager take and pass the General Portion of the manager test if that manager holds an AMS, PCAM or CMCA. [read post]
25 May 2022, 3:31 am
We’ve been tracking human capital management oversight & disclosure since way back when the Human Capital Management Coalition first petitioned the SEC for rulemaking on this topic. [read post]
12 Sep 2018, 7:29 am
The SEC has filed fraud charges against hedge fund adviser Gregory Lemelson and his Massachusetts based investment advisory firm Lemelson Capital Management LLC. [read post]
22 May 2009, 1:06 am
The US Securities and Exchange Commission is suing the defendants, which include Kiselak, who is now a money manager, his Texas-based investment firm Kiselak Capital Group LLC, Jeffrey Sykes, and Gemstar Capital Group Inc, a venture capital company. [read post]
15 Nov 2017, 9:50 am
The managing dealer, CNL Securities Corp., sold approximately 141 million shares in CCT’s initial public offering and sold an additional 168 million shares in a follow-on public offering, which closed on November 1, 2016. [read post]
4 Apr 2023, 9:05 pm
In this market, these securities may be more efficiently traded under so-called smart contracts, which are governed by mathematical algorithms that replace human-managed intermediaries. [read post]
19 Feb 2021, 1:39 pm
Prophecy’s investment model involves conduct thorough research and selecting various sub-advisors to manage its capital. [read post]
