Search for: "Capital Management Securities"
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28 Mar 2017, 6:53 am
Real estate fund managers registered with the Securities and Exchange Commission are working on their Form ADV filings. [read post]
19 Aug 2022, 7:00 am
Aegis Brokers in Melville, NY and Boca Raton, FL Allegedly Unsuitably Recommended VRSPs to 48 Customers, Including Elderly Investors In July 2022, the US Securities and Exchange Commission (SEC) filed civil charges against Aegis Capital Corp., former Managing Director Alan Zelig Appelbaum, and ex-broker Paul Francis Gallivan. [read post]
10 Oct 2015, 5:24 am
At its peak, Canarsie Capital had managed around $98 million in assets and had some well-known contributors. [read post]
30 Dec 2022, 8:04 am
According to FINRA Disciplinary actions for December 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Christ Baltas Worden Capital Management LLC Wilmington Capital Securities, LLC Matthew Beaver Grit Wealth Management, LLC Ameriprise Financial Services, Inc. [read post]
1 Oct 2019, 1:11 pm
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Michael Stanton (Stanton), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least four customer complaints, two regulatory complaints, and nine financial disclosures and or tax and civil liens. [read post]
19 Nov 2018, 11:39 am
Registration entails disclosure of detailed information about the issuer’s financial condition, the identity and background of management, and the price and amount of securities to be offered. [read post]
23 Aug 2011, 9:23 pm
[The Indiana Securities Division has since updated its previously out-of-date exemption for venture capital funds. [read post]
28 Apr 2022, 7:37 am
Manhattan federal agents arrested Archegos Capital Management founder Sung Kook “Bill” Hwang on April 27, 2022 on fraud charges, roughly one year after the investment firm’s huge losses back in March 2021. [read post]
4 Mar 2019, 10:31 am
Both the SEC and FINRA have opened respective investigations into GPB Capital Holdings, LLC, and Massachusetts securities regulators also announced their own investigation into GPB in September of 2018. [read post]
31 Jul 2009, 9:27 am
According to Diversity Capital's website, the company manages over $1.7 billion. [read post]
24 May 2010, 5:30 pm
On May 18, 2010, "The Committee to Protect IMH Secured Loan Fund" filed a statement with the SEC advising members to reject management's restructuring plan. [read post]
7 May 2014, 12:05 pm
In the next post, we’ll discuss management and information rights. [read post]
21 May 2010, 4:37 pm
FINRA says that a brokerage firm it recently expelled committed securities fraud. [read post]
5 Mar 2019, 10:03 am
Avere Financial Group, LLC Axiom Capital Management, Inc. [read post]
19 Dec 2019, 6:46 am
The proposed guidance consists of eight measures relating to the pricing of debt securities and related risk management transactions, the quality of information available to investors and the allocation of debt securities. [read post]
4 Aug 2015, 1:20 pm
According to the SEC release, Paul Lee Moore and Coast Capital Management allegedly raised $2.6 million from investors. [read post]
9 Aug 2023, 9:01 pm
The Capital Proposal would also materially impact banking organizations with significant fee income operations as it includes new operational risk capital charges that are based, in part, on the amount of fee or commission-based income, including fiduciary and custody services, loan servicing, securities brokerage, investment banking, advisory and underwriting, and insurance. [read post]
24 Sep 2015, 6:18 am
Regulation of the asset management industry is one of the Commission’s most important responsibilities in furthering our mission to protect investors, maintain orderly markets, and promote capital formation. [read post]
2 Feb 2007, 5:04 am
The SEC says that Clarion Capital was created to market time international funds through variable annuities and that Clarion Management and Fife engaged in deceptive methods to buy contracts and take part in market timing to benefit Clarion Capital. [read post]
3 Oct 2010, 9:23 am
” New Mountain Capital, a New York based investment firm, currently manages more than $9 billion in aggregate capital commitments. [read post]
