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5 Sep 2021, 11:29 am
I also have asked staff to pursue similar disclosure requirements with respect to human capital and board diversity. [read post]
3 Sep 2021, 5:35 pm
Dalhstrom founded Halyard Energy Ventures, LLC (HEV) in late 2010. [read post]
31 Aug 2021, 1:35 pm
The SEC Complaint alleges that investment advisers at a company called Livingston Group Asset Management Company, which does business as Southport Capital, persuaded investors to lend money to a company known as Horizon Private Equity, III, LLC (“Horizon PE”). [read post]
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
31 Aug 2021, 7:25 am
Silver Law Group currently represents investors in FINRA claims against HighTower Securities LLC and several other broker-dealers who sold GPB funds to investors, and reportedly filed the first GPB-related stockbroker arbitration claim in 2019. [read post]
25 Aug 2021, 8:13 am
On August 20, 2021, the United States Securities and Exchange Commission (“SEC”) filed an emergency action to stop a fraudulent Ponzi scheme allegedly perpetrated by Marietta, Georgia resident John Woods and two entities he controls: registered investment adviser Livingston Group Asset Management Company, d/b/a Southport Capital (“Southport”), and investment fund Horizon Private Equity, III, LLC. [read post]
24 Aug 2021, 12:14 pm
Woods And/Or Horizon Private Equity III LLC? [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
20 Aug 2021, 5:54 am
Colpan (Kyoto University) and Randall Morck (University of Alberta), on Monday, August 16, 2021 Tags: Bailouts, Banks, Business groups, Financial institutions, International governance, Risk, Shocks, Systemic risk Blackrock Flexes Its Muscles During the 2020-21 Proxy Period Posted by Cydney Posner, Cooley LLP, on Monday, August 16, 2021 Tags: BlackRock, Boards of Directors, Climate change, Environmental… [read post]
18 Aug 2021, 2:01 pm
The Anne Arundel Economic Development Corporation announced Wednesday it has awarded a loan of $100,000 to Crownsville-based Plus Up LLC, the first small business to benefit from its VOLT Growth Fund (VGF). [read post]
18 Aug 2021, 12:01 pm
The sponsor is owned by three funds affiliated with Pershing Square Capital Management, L.P, Ackman’s investment company. [read post]
17 Aug 2021, 11:25 am
Fountainhead Commercial Capital, LLC, 2021 WL 3501518, No. [read post]
17 Aug 2021, 7:00 am
” MJ Capital Funding And Johanna Garcia Allegedly Raised Over $70 Million According to the SEC’s complaint, Garcia and her companies, MJ Capital Funding, LLC and MJ Taxes and More, Inc., used fraudulent securities offerings to raise at lease $70 million from over 2,150 investors. [read post]
16 Aug 2021, 10:55 am
The GPB funds were marketed to independent broker-dealers and investment advisers who would, in turn, sell the GPB funds to their retail investors. [read post]
12 Aug 2021, 9:07 am
Continue reading The post Iorio Altamirano LLP Investigates American Capital Partners, LLC Over GPB Capital Funds appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Aug 2021, 12:15 pm
A big chunk of the PTAB action was against Ocean Semiconductor LLC by Applied Materials, Inc., who filed five against the litigation financed entity (Fullbrite Capital Partners, LLC), and six filed by Lumenis Ltd. against BTL Healthcare Technologies A.S in an apparent... [read post]
11 Aug 2021, 12:15 pm
A big chunk of the PTAB action was against Ocean Semiconductor LLC by Applied Materials, Inc., who filed five against the litigation financed entity (Fullbrite Capital Partners, LLC), and six filed by Lumenis Ltd. against BTL Healthcare Technologies A.S in an apparent litigation-free freedom-to-operate action. [read post]
9 Aug 2021, 2:47 pm
Gig3’s sposnor is GigAcquisitions3 LLC. [read post]
6 Aug 2021, 11:00 am
AMG Capital Management, INC. v. [read post]
4 Aug 2021, 12:49 pm
The attorney was to get the settlement checks and deposit them to their IOLTA (the first installment was $99,500) and then wire transfer the funds less their fee to him. [read post]
2 Aug 2021, 9:39 am
Four of the customers were reportedly over the age of 60 and seven of the customers invested retirement funds in the BDC, according to FINRA. [read post]
