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30 Jul 2019, 11:35 am
Booth, on December 7, 2005, reportedly became registered with INVEST Financial Corporation in Norwalk, CT as a General Securities Representative (GSR) Investment Company and Variable Contracts Products Representative (IR), General Securities Principal (GP), and an Investment Company ProductsNariable Contracts Principal (IP), FINRA notes. [read post]
28 Aug 2012, 7:16 am
Among the concerns is the periodic distributions that help make non-traded REITs appealing can, in more and more instances, be heavily subsidized by borrowed funds and include a return of investor principal. [read post]
18 Feb 2014, 6:27 am
Both NFP Securities, Inc. and WFG Investments Inc. have been know to sell the Icon Funds to their clients. [read post]
21 Sep 2017, 6:03 am
Theranos Inc. et al. [read post]
1 Jun 2020, 12:46 pm
WillScot Corporation, a Baltimore-based modular space and portable storage company, Monday announced its indirect subsidiary, Picasso Finance Sub Inc., plans to offer up to $500 million in aggregate principal amount of senior secured notes due in 2025. [read post]
29 Sep 2015, 9:24 am
The United States filed a civil suit against the Rainy Day Foundation, Inc., a purported charitable “counseling fund,” together with its associated business entities and principals. [read post]
27 Apr 2013, 12:02 pm
On April 25, 2013, a federal court in New York found defendants Joshua Constantin and Windham Securities, Inc. jointly and severally liable for over $2.49 million and defendant Brian Solomon liable for over $249,000 in disgorgement, pre-judgment interest, and civil... [read post]
30 Nov 2015, 6:54 am
Jeff Davis Bancshares Inc. [read post]
14 May 2009, 5:06 pm
BUT today Reuters reports that analysts at Keefe, Bruyette & Woods said "U.S. life insurers Principal Financial Group, Ameriprise Financial Inc and Prudential Financial Inc, all with a solid capital position, may not accept funds under the U.S. [read post]
26 Oct 2020, 1:14 pm
Complete Business Solutions Group Inc., which did business as Par Funding, used soliciting agents such as Vagnozzi, Furman, and Gissas to raise money for their company. [read post]
24 Sep 2021, 2:18 pm
The losses occurred across a number of purported “investments,” including but not limited to Jefferson Resources Inc., Vanderbilt Realty, and JRI Hedge Fund. [read post]
22 Feb 2011, 9:45 am
While federal and state regulators have filed complaints against both of these firms and their principals, it is doubtful that enough funds will be recovered by the regulators to help aggrieved investors recover much, if anything, as a result of these actions. [read post]
14 Sep 2009, 4:35 pm
Please make all checks payable to the "Southeastern Hedge Fund Association, Inc. [read post]
18 Apr 2022, 7:24 am
The principal value of those eight sales, which occurred between June 8, 2018 and June 29, 2018, totaled $466,500. [read post]
10 Oct 2009, 2:36 pm
Other related hedge fund law articles include: Hedge Fund Laws Hedge Fund Offering Documents Hedge Fund Managers How to register as an Investment Advisor Hedge Fund Attorney New Hedge Fund Regulation [read post]
12 Jan 2011, 8:00 am
For example, in 2004 Janus Capital Management LLC (“JCM”), a wholly-owned subsidiary of Janus Capital Group, Inc. [read post]
19 Aug 2012, 1:20 pm
Recent Activity on Segregated Funds It has been a busy couple of months for rules affecting segregated funds: • July 9: The NFA brought an emergency action against Peregrine Financial Group, Inc. [read post]
28 Dec 2017, 7:16 am
Recently in Sarissa Capital Domestic Fund LP v. [read post]
15 Mar 2019, 6:26 am
From 2012 to 2016, Booy victimized at least 15 clients in a $1.4 million scam whereby he had claimed to be affiliated with Principal Financial Group, althought he had no actual relationship with the firm and was not authorized to invest client funds with it. [read post]
7 Jul 2011, 1:39 pm
Accordint to the SEC's complaint, Windham, Solomon and Constantin misappropriated ivnestor funds from an investment opportunity in Leeward Group, Inc. [read post]
