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25 Oct 2019, 3:00 am
Scott Mackenzie “caused the submission of a number of materially false, fictitious and fraudulent statements and representations” to the FEC from 2011 to 2018 on behalf of two PACs: Conservative StrikeForce and Conservative Majority Fund. [read post]
24 Oct 2019, 7:30 am
In that case, both parties had the funds to battle it out in court. [read post]
23 Oct 2019, 1:27 pm
Investors are still waiting for updated financial statements in two of the largest funds that are now a year past due. [read post]
16 Oct 2019, 10:38 am
From July 2009 until December 2013 Peggs was associated with AXA Advisors, LLC. [read post]
14 Oct 2019, 10:36 am
Millions of dollars were reportedly borrowed in order to fund private equity buyouts, dividends and other transactions that, unfortunately, didn’t improve earnings. [read post]
6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
4 Oct 2019, 2:35 pm
Shrader & Associates, LLP v. [read post]
2 Oct 2019, 6:13 am
Equity Services Inc.Essex Financial Services Inc.Folger Nolan Fleming Douglas Capital Management Inc. [read post]
2 Oct 2019, 5:13 am
Hull and Nohl through their entities manage Greenpoint Tactical Income Fund LLC, the Complaint notes. [read post]
2 Oct 2019, 5:13 am
Hull and Nohl through their entities manage Greenpoint Tactical Income Fund LLC, the Complaint notes. [read post]
27 Sep 2019, 10:10 am
Moreover, the court found the complaint adequately alleged that the private equity defendants had caused the submission of the false claims, based on the fund’s principals who were directly involved in clinic operations. [read post]
21 Sep 2019, 2:31 pm
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 4-Sep-19Beyond IT ForensicsXact Data Discovery 15-Aug-19ayfie (Investee)Second Funding Round (Initial Funding Round June 2017)$10,000,000 8-Aug-19iCONECT (Investee)NewField Capital Partners (Investor) 1-Aug-19iControlESILegility 29-Jul-19CompiledKLDiscovery 29-Jul-19Strategic Legal… [read post]
9 Sep 2019, 7:42 am
LLC acted as financial advisor and Cooley LLP acted as legal advisor. [read post]
4 Sep 2019, 7:17 am
YOU CAN TRUST US TO BE YOURS 5842759 PRESS GANEY 5847251 CRACKED RACQUETS 5842658 CHINESE INVESTORS 5842621 INDIANA STATE FESTIVALS ASSOCIATION 5842620 INDIANA STATE FESTIVALS ASSOCIATION 5842548 5846786 HOSPITALASSURE 5842502 SALSA GRILLE 5842483 SOUTHCARE 5842450 OFFICE OF INCLUSION AND EQUITY UNIVERSITY OF INDIANAPOLIS 5842382 DISCOVERY MASTER 5834740 ECOFLORA 5839766 ZBIPATHWAYZ 5839634 BLUE RHINO 5839487 MINC 5839472 ORIGINAL RAINBOW CRAYON 5839469 ART 2 THE EXTREME 5839435 DARK SIDE… [read post]
1 Sep 2019, 7:56 am
Wohl’s full-time employer is private equity law firm Paul Hastings which has deep relationships to Cross-Defendant Stanford University and its Trustees, relationship to Stanford University’s Counsel Bahram Seyedin-Noor, financial interests in the proceeding and conflicts of interest in private equity. [read post]
30 Aug 2019, 5:53 am
Why Isn’t Your Mutual Fund Sticking Up for You? [read post]
29 Aug 2019, 8:54 am
The Commonwealth case involves a revenue sharing arrangement between Commonwealth and National Financial Services, LLC (“NFS”), an affiliate of mutual fund giant Fidelity Investments. [read post]
16 Aug 2019, 6:00 am
Atkins, Patomak Global Partners, LLC, on Sunday, August 11, 2019 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Public firms, Risk disclosure, SEC, Securities regulation, Sustainability, Taxation Managing Legal Risks from ESG Disclosures Posted by David R. [read post]
16 Aug 2019, 1:00 am
Bravata was previously charged by the SEC, and later by criminal authorities, for his participation in a $50 million securities fraud conducted through BBC Equities, LLC. [read post]
9 Aug 2019, 6:16 am
A Catch 22 for Asset Managers Posted by Jasmin Sethi, Sethi Clarity Advisers LLC, on Friday, August 2, 2019 Tags: Asset management, BlackRock, Diversity, Engagement, Index funds, Institutional Investors, Shareholder voting, SSgA, Transparency, Vanguard Opportunities for Cross Border Cooperation in Regulation of Digital Assets Posted by Hester M. [read post]
