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29 Aug 2023, 12:32 pm
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
18 Jul 2008, 3:55 pm
Jamison and Company hosted a Hedge Funds and Investment Management Update. [read post]
21 Apr 2019, 12:47 pm
However, the primary sellers of these toxic funds appear to have been Royal Alliance, FSC Securities, SagePoint Financial, and Woodbury Financial Services. [read post]
19 May 2020, 7:40 am
The company does not have any of its shares or other securities listed on a regulated market, a multilateral trading facility, a recognised investment exchange and/or any other similar market, stock exchange or listing venue. [read post]
12 Aug 2020, 5:07 am
The company was founded in 2009 and is headquartered in Austin, Texas. [read post]
14 Dec 2010, 2:00 am
Recently, I was asked about funds being formed to acquire shares in privately held companies. [read post]
14 Oct 2009, 1:58 am
Department of the Treasury today announced three additional initial closings of Public-Private Investment Funds (PPIFs) established under the Legacy Securities Public-Private Investment Program (PPIP). [read post]
20 Mar 2008, 3:34 pm
This action by the closed-end fund companies is likely intended to benefit these companies and will not help the preferred share holders. [read post]
28 Nov 2020, 6:29 am
On Oct. 28, 2020, the SEC voted to adopt new Rule 18f-4 under the Investment Company Act of 1940, as amended (“1940 Act”), to provide a modernized and comprehensive regulatory framework for the use of derivatives by regulated funds, including mutual funds (other than money market funds), exchange-traded funds (“ETFs”), registered closed-end funds and business development companies (“BDCs”)… [read post]
11 Jun 2023, 7:41 am
NEW YORK, June 6, 2023 /PRNewswire/ -- The INX Digital Company, Inc. [read post]
11 Sep 2014, 1:38 pm
FINRA has issued an investor alert regarding "Frontier funds" which are funds that invest in securities of companies in countries with developing securities markets—like Argentina, Lebanon, Nigeria, Slovenia and Vietnam.According to FINRA, some see investing in frontier funds as a way to diversify assets—going beyond funds that invest in established international and other more developed emerging markets. [read post]
4 Jun 2018, 2:04 pm
On May 23, 2018, the Securities and Exchange Commission (“SEC“) proposed rules and amendments intended to promote research on mutual funds, exchange traded funds, registered closed-end funds, business development companies, and similar covered investment funds. [read post]
30 Jun 2010, 6:04 pm
The fund manager is disputing a federal appeals court decision to allow shareholders to sue the company and its subsidiaries for helping produce allegedly misleading prospectuses for Janus mutual funds. [read post]
30 Oct 2011, 12:10 pm
The approval related to a company which only acted as trustee of the applicant’s Family Superannuation Fund. [read post]
9 Dec 2014, 4:18 pm
The company was founded in 2004 and raised more than 2 million prior to offering limited partnership interests. [read post]
30 Jul 2024, 1:16 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
9 Dec 2010, 10:13 am
First Derivative Traders (No. 09-525), the Court addressed in the context of mutual funds and mutual fund advisors (1) whether a service provider can be held primarily liable in a private securities-fraud action for “help[ing]” or “participating in” another company’s misstatements; and (2) whether a service provider can be held primarily liable in a private securities-fraud action for statements that were not directly and… [read post]
28 Jan 2016, 7:36 am
The Fund invests in a combination of securities and other assets of energy and energy related companies. [read post]
8 Oct 2008, 12:28 pm
SAN FRANCISCO, Oct 07, 2008 (BUSINESS WIRE) -- Recommind, a leading provider of enterprise search, email management and eDiscovery systems for enterprises, today announced that it has secured the first institutional funding in the company's history. [read post]
21 Apr 2021, 12:30 pm
The post Silver Law Group Sues Law Firm For Allegedly Keeping Escrow Funds appeared first on Securities Arbitration Lawyers Blog. [read post]
