Search for: "Private Capital Investments, LLC"
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15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
15 Nov 2023, 5:55 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
10 Nov 2023, 7:44 am
Companies often use pre-IPO private placements to raise additional capital to fund their operations, expansion, or other business activities. [read post]
3 Nov 2023, 10:39 am
This can include investing in start-ups, venture capital opportunities, or other private securities offerings. [read post]
2 Nov 2023, 9:04 am
These include, among others: Large operating companies (20+ full time employees and $5 million in gross receipts/sales); Public companies; Venture capital fund advisors; Pooled investment vehicles; Subsidiaries of certain exempt entities (must be wholly owned subsidiaries); Insurance companies and insurance producers; Certain other highly regulated entities, such as: Banks; Credit unions; Bank holding companies; Securities brokers or dealers; SEC-registered investment… [read post]
1 Nov 2023, 10:57 am
Many of the allegations are in connection with unsuitable alternative investment recommendations, such as GPB Capital offerings. [read post]
26 Oct 2023, 12:25 am
In uncertain market conditions or when the investment outlook is less favorable, this lack of liquidity can become a risk, as you may not be able to access your capital easily. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
On August 23, 2023, the SEC issued final rules focused on investment advisers who manage private funds (the “New Private Fund Adviser Rules”). [read post]
18 Oct 2023, 3:02 pm
July started off with two reported deals as companies looked to strategically combine forces or attract new capital. [read post]
18 Oct 2023, 7:43 am
His scheme consisted of persuading victims to invest in Crew Capital Group, LLC, however Swensen did not invest in any securities, according to the agency. [read post]
17 Oct 2023, 6:45 am
The second disclosure law, SB 261, aims at increasing “transparency to policy makers, investors, and shareholders… [and] improve[] decision making on where to invest private and public dollars. [read post]
17 Oct 2023, 2:39 am
The Trouble with Private Placement Investments Private placement investments such as these are typically sold by brokerage firms in exchange for a large up-front commission. [read post]
10 Oct 2023, 11:23 am
Issuance is a competitor: a financial technology company with a retail capital raising and investment processing platform. [read post]
9 Oct 2023, 2:34 pm
This article is co-authored by Sarah Abrams, Head of Professional Liability Claims, Bowhead Specialty Underwriters, Inc., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
28 Sep 2023, 1:18 pm
The customer alleged misrepresentation and breach of fiduciary duty involving a private placement investment, among others. $400,000 was reportedly requested in alleged damages and the dispute shows as settled for $35,000. [read post]
28 Sep 2023, 1:18 pm
The customer alleged misrepresentation and breach of fiduciary duty involving a private placement investment, among others. $400,000 was reportedly requested in alleged damages and the dispute shows as settled for $35,000. [read post]
28 Sep 2023, 1:18 pm
The customer alleged misrepresentation and breach of fiduciary duty involving a private placement investment, among others. $400,000 was reportedly requested in alleged damages and the dispute shows as settled for $35,000. [read post]
