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28 Apr 2021, 5:06 am
Continue reading The post Iorio Altamirano LLP Investigates Financial West Group Over GPB Funds appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Jan 2012, 11:37 am
In a public rulemaking petition, the Managed Funds Association asked the SEC to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales securities by general solicitation or general advertising with respect to private funds. [read post]
11 Jan 2007, 5:18 am
Morgan Securities, which owns the lender, has approached several buyers recently, including Ellington Capital Management, a $4.5 billion fund with a specialty in [...] [read post]
12 Jun 2008, 11:37 am
The fight between the CSX Corporation and two hedge funds seeking to win a proxy fight at one of the largest railroad companies in the nation, it seems, may not be over, despite a ruling Wednesday by a federal judge that the two activist funds ad violated securities laws by not disclosing their positions and [...] [read post]
2 Aug 2007, 4:44 am
Hedge fund managers argue that by temporarily barring withdrawals, they are essentially protecting investors from themselves, by preventing sales of securities at [...] [read post]
29 Jul 2010, 3:42 am
Paul Greenwood, a former hedge fund manager whose taste for expensive teddy bears garnered a good deal of attention, pleaded guilty Wednesday to securities fraud, admitting that he cheated charities, schools, pension funds and others out of at least $331 million. [read post]
24 Jun 2013, 6:00 am
In an annual assessment of Social Security and Medicare trust funds, the Medicare Board of Trustees has projected “that the Medicare hospital insurance trust fund will remain solvent until 2026, which is two years later than forecast last year.” [read post]
13 Dec 2012, 6:39 am
“By engaging in more than 50 instances of illegal activity in his securities trading, [the fund manager] showed a complete disregard for the securities laws and our markets,” said Andrew M. [read post]
2 Oct 2007, 1:45 pm
The Securities and Exchange Commission is proposing to increase the net asset requirement for individuals seeking to invest in hedge funds to $2.5 million from $1 million. [read post]
23 Jun 2011, 7:20 am
The Securities and Exchange Commission has approved new rules that would impose sweeping disclosure requirements on large hedge funds and other private investment advisers, a first for the industry. [read post]
3 Aug 2009, 3:05 am
Hedge Fund Hotel Controversy In 2007 the Massachusetts Securities Division filed an action against UBS for its activities related to it running a hedge fund hotel. [read post]
4 May 2009, 12:51 pm
Among the topics covered was target date mutual funds: However, target date funds... [read post]
9 Jul 2014, 12:16 pm
., of Glenwood, a provider of administrative tools and services to monitor and measure the outcome of health care benefit programs, announced that it has secured $8 million in Series A funding led by Hunt Valley-based Grotech Ventures and Harbert Venture Partners, of Birmingham, Alabama. [read post]
10 Apr 2008, 4:52 am
Lehman Brothers has liquidated three floundering investment funds that lost value and ended up taking $1 billion of assets onto its balance sheet, according to a filing with the Securities and Exchange Commission. [read post]
22 Jun 2016, 9:22 am
With the funding, ILAO will launch the American Bar Association-sponsored Legal Answers, which is an online portal to allow people with civil legal problems to submit their questions securely to be reviewed by volunteer attorneys and receive brief legal advice. http://ow.ly/V9pp301wNUxFiled under: Conflict [read post]
15 Apr 2013, 6:41 am
The failure to do so is a violation of securities laws and securities industry rules and may give rise to liability for losses sustained.Securities arbitration attorneys are presently reviewing cases for investors against UBS for their purchases of the Willow Fund. [read post]
16 Sep 2008, 7:21 pm
In my 25+ years working with the securities industry, I vaguely recall one money market fund going under a buck, and I also recall that the firm that ran the fund put additional money in to bring the NAV back to a dollar.Liquidation freezes on money market funds just don't happen. [read post]
28 Mar 2013, 1:01 pm
In September of last year, the Securities and Exchange Commission brought formal charges against Walter V. [read post]
16 Jun 2012, 7:09 pm
Sometimes, people who receive Social Security Disability Benefits are not able to handle their own funds. [read post]
17 Jun 2010, 2:44 pm
Here is the summary: The Securities and Exchange Commission is proposing amendments to rule 482 under the Securities Act of 1933 and... [read post]
