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8 Jul 2018, 8:04 am
The securities lawyers of Gana Weinstein LLP are investigating investor losses in FS Energy & Power Fund a business development company (BDC). [read post]
24 Jan 2011, 2:00 am
Many of our most succesful and innovative companies have been funded by the venture capital industry. [read post]
13 Jul 2011, 6:36 pm
The Investment Company Act (a separate statute from the Advisers Act) generally provides that a company will be considered an investment company (i.e. a portfolio of securities), if the securities owned by that company has a value exceeding 40 percent of the value of the company’s total assets. [read post]
20 Aug 2018, 3:47 pm
Up to 60 brokerage firms have sold the GPB funds, including Advisor Group broker-dealers Sagepoint Financial Inc., FSC Securities Corp., Royal Alliance Associates, Inc., and Woodbury Financial Services Inc. [read post]
3 Jan 2023, 10:08 am
The post CFTC Sanctions Monex – A Leveraged Precious Metals Company appeared first on Securities Arbitration Lawyers Blog. [read post]
13 Jun 2018, 12:57 pm
Continue reading The post Pension Fund Fraud Recovery Attorneys appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Oct 2016, 1:45 pm
One might ask what can a small business do with limited funds? [read post]
20 Oct 2016, 1:45 pm
One might ask what can a small business do with limited funds? [read post]
16 Oct 2017, 6:08 am
The industry’s principal regulatory statute, the Investment Company Act of 1940, defines an “investment company” (the statute’s name for what is commonly known as an “investment fund”) as a company that holds a lot of securities, rather than a company that holds operating assets like land and intellectual property. [read post]
11 Mar 2010, 6:38 pm
The lawsuit claims that Northern Trust breached its contract and fiduciary duty with mortgage-backed securities investments - investments that ignored the warnings of the company’s chief economist. [read post]
1 Jun 2020, 12:46 pm
WillScot Corporation, a Baltimore-based modular space and portable storage company, Monday announced its indirect subsidiary, Picasso Finance Sub Inc., plans to offer up to $500 million in aggregate principal amount of senior secured notes due in 2025. [read post]
23 Apr 2018, 9:28 am
John Jumper, a former Memphis, Tennessee-based broker-dealer has been indicted on federal charges of embezzling $5.7 million from a Pennsylvania company’s employee pension fund. [read post]
Investor Alert: American Century Quantitative Equity Funds Global Gold Fund Securities Investigation
14 Jan 2016, 11:44 am
It invests in stocks of companies engaged in the mining, processing, fabricating, or distribution of gold. [read post]
16 Nov 2016, 4:36 pm
” Discussion This lawsuit is merely the latest securities lawsuit to be filed in the U.S. in connection with the Fundão dam collapse disaster. [read post]
12 Jun 2020, 6:06 am
The 2010 letter, issued to Boulder Total Return Fund (Boulder Letter), [1] had long been an impediment to a closed-end fund opting in to state statutes that permit companies to restrict the ability of certain shareholders to vote control shares. [read post]
7 Jul 2021, 8:13 am
Specifically, the SEC alleged that the company did not disclose its conflicts of interests related to mutual fund share classes, cash sweep arrangements, and no-transaction fee revenues. [read post]
6 Nov 2013, 11:00 am
The Securities and Exchange Commission’s Division of Trading and Markets assured two entities that, if they sought accredited investors for start-up companies they would not risk enforcement action by failing to register as broker-dealers under the Securities Exchange Act of 1934 Section 15(a)(1). [read post]
2 Dec 2022, 6:31 am
Amendments Modify the Disclosure Framework for Mutual Funds and Exchange-Traded Funds to Create a New Layered Disclosure Approach to Highlight Key Information for Retail Investors SUMMARY On October 26, 2022, the Securities and Exchange Commission (the “SEC”) adopted, by a unanimous vote, its previously proposed[1] amendments to the mutual fund and exchange-traded fund disclosure framework for annual and semi-annual shareholder reporting, with… [read post]
2 Dec 2022, 6:31 am
Amendments Modify the Disclosure Framework for Mutual Funds and Exchange-Traded Funds to Create a New Layered Disclosure Approach to Highlight Key Information for Retail Investors SUMMARY On October 26, 2022, the Securities and Exchange Commission (the “SEC”) adopted, by a unanimous vote, its previously proposed[1] amendments to the mutual fund and exchange-traded fund disclosure framework for annual and semi-annual shareholder reporting, with… [read post]
14 Oct 2019, 3:00 am
There are many index funds that match three-fund portfolio across all of the major mutual fund companies, so you should have no trouble creating the three-fund portfolio at whichever account makes most sense to you. [read post]
