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25 Apr 2019, 9:07 am
Solomon - Chief Executive Officer, Cowen, Inc.; New York, NYHank Torbert - President, AltaMax, LLC; New Orleans, LAGregory Yadley – Partner, Shumaker, Loop & Kendrick, LLP; Tampa, FLCommittee members will also include the SEC’s Advocate for Small Business Capital Formation, Martha Legg Miller, and three non-voting members appointed by each of the SEC’s Investor Advocate, the North American Securities Administrators Association, and the Small Business… [read post]
6 Jan 2010, 2:31 pm
The SEC settled administrative charges against Mary Beth Stevens, the former chief financial officer and chief compliance officer of investment adviser AA Capital Partners Inc. [read post]
23 May 2014, 2:26 pm
See Stone Lion Capital Partners, L.P. v. [read post]
22 Dec 2020, 9:43 am
Michael Martino (Michael Christopher Martino CRD#: 2579146) is a currently registered broker with Four Points Capital Partners LLC (CRD#: 43149) of New York, NY. [read post]
7 Apr 2021, 9:12 am
” Eric Weiner, Partner at Blue Sage, stated, “We are excited to partner with Candice and her best-in-class team and to support Cobra in the next stage of its evolution. [read post]
4 Dec 2009, 12:29 pm
District Court for the Northern District of Texas against Cedar Brook Financial Partners, LLC; Next Financial Group, Inc.; QA3 Financial Corp. and Securities America, Inc. for their role in recommending these investments to their brokerage clients. [read post]
31 Mar 2019, 6:18 am
GPB Capital has been plagued with issues since last year when the firm stopped raising new money, lost an auditor, and engaged in a lawsuit with a former business partner Patrick Dibre (Dibre). [read post]
3 May 2022, 2:30 pm
BTIG, LLC was the sole book-running manager for the offering with Piper Sandler & Co., Compass Point Research & Trading, LLC, and Roth Capital Partners acting as co-lead managers. [read post]
14 Feb 2008, 6:57 am
The funding came from the private equity firm Stephen Norris Capital Partners and partners in the Middle East. [read post]
16 Jul 2010, 7:19 am
MBBP client Micronotes, Inc., an innovator in interactive direct marketing, has completed a Private Placement of Series B Preferred Stock with Harbor Light Capital Partners, a private investment firm investing in early and growth stage companies located in the Northeast. [read post]
6 Jun 2011, 5:21 am
About Highwinds Capital, Inc. [read post]
14 Jul 2011, 8:43 pm
Rosen Capital Partners and Rosen Capital Institutional had originally sought at least $90 million in compensatory damages, as well as punitive damages and other costs. [read post]
31 Jan 2007, 2:45 pm
Bancorp, Comerica Bank, General Electric Capital Corporation, Storage USA, American Megatrends, Inc., Taylor Made Golf Company, Inc., Iron Grip Barbell Company and Fender Musical Instruments, Inc.Click here for full bio.Email: rbeall@sheppardmullin.com [read post]
18 Jul 2019, 9:06 am
Just late last year, VEREIT settled with eight entities, including BlackRock ACS US Equity Tracker Fund, Eton Park Fund, Clearline Capital Partners, Pentwater Equity Opportunities Master Fund, HG Vora Special Opportunities Master Fund, Reliance Standard Life Insurance Co., PIMCO Diversified Income Fund, and Twin Securities Inc. for $85M. [read post]
9 Mar 2011, 11:41 am
The firm and partner Timothy Lavender face malpractice claims from former oil and gas client, Capital City Energy Group Inc., according to a report by The National Law Journal. [read post]
13 Mar 2019, 9:48 am
Partners were asked to help fund £8.5 million in capital to save the firm. [read post]
The SEC and Small Capital Formation: The Advisory Committee on Small and Emerging Companies (Part 1)
17 Feb 2012, 5:00 am
Paul Maeder, General Partner, Highland Capital Partners, Lexington, Mass. [read post]
15 Mar 2021, 8:56 am
The offering listed Oppenheimer & Co. as the sold book-running manager, with Roth Capital Partners and Laidlaw & Company (UK) Ltd. as co-managers. [read post]
26 Nov 2019, 7:36 am
Vereit Inc. [read post]
11 Jan 2007, 3:25 pm
" Founded in 2000, Greenhill Capital Partners ("GCP") currently manages two private equity funds with an aggregate of $1.3 billion in committed capital, focusing primarily on the financial services, energy, and telecommunications industries. [read post]
