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7 May 2013, 2:05 pm
District Court for the Southern District of New York reinstated previously dismissed claims in two class actions brought by several pension fund plaintiffs against Royal Bank of Scotland Group PLC and Residential Capital LLC, among others. [read post]
3 Jan 2011, 1:35 pm
Eccleston Law has launched an investigation into Hyatt Johnson Capital, LLC and BCI Aircraft Leasing, Inc. in connection with a fraudulent aircraft leasing scheme. [read post]
3 Jun 2024, 12:50 pm
Edelman, who was reportedly registered with Spartan Capital Securities until 2019, purportedly misappropriated most of the funds for personal use, including paying credit card bills and giving money to family members. [read post]
4 Nov 2013, 7:41 am
Minimum registered capital for LLC is removed. [read post]
1 May 2015, 3:00 am
The following are various hedge fund events happening this month. [read post]
1 May 2015, 3:00 am
The following are various hedge fund events happening this month. [read post]
2 Sep 2011, 7:01 am
Faruki and his firm, Neural Markets LLC, solicited highly sophisticated individuals to invest in the "Evolution Quantitative 1X Fund," a hedge fund they managed that allegedly employed a proprietary algorithm to conduct an arbitrage strategy involving trading in liquid exchange-traded funds (ETFs). [read post]
5 Nov 2015, 9:51 am
Disclose to the Fund or its investors the creation of the affiliated entity Fenway Consulting Partners, LLC (“Fenway Consulting”). [read post]
9 Nov 2011, 6:38 pm
The SEC charged Arrowhead Capital Management LLC ("Arrowhead"), along with founder James N. [read post]
4 Jun 2020, 7:57 am
Investors can buy shares in a BDC, and the money from their investments is used to fund the businesses. [read post]
2 Jun 2017, 8:18 am
Risks of REITs Compared to traditional investments, such as stocks, bonds and mutual funds, REITS, are considerably more complex and involve a high degree of risk. [read post]
29 Jul 2015, 3:12 pm
Other panelists and representatives of hedge fund managers (Frank Martin, President, Standard Pacific Capital, LLC) and institutional investors (Michelle Young, Managing Director, Ohana Advisors), provided insights into identifying, assessing, mitigating, and managing those conflicts. [read post]
9 Dec 2010, 11:00 am
To date, eighteen firms have endorsed the Code: investment firms The Carlyle Group, Riverstone Holdings, LLC, Pacific Corporate Group Holdings, LLC, HM Capital Partners I, Levine Leichtman Capital Partners, Access Capital Partners, Falconhead Capital, Markstone Capital Group, Ares, Freeman Spogli, Quadrangle, GKM, and Aldus Equity; placement agent Wetherly Capital Group; political consulting firm Global Strategy Group; law firm… [read post]
28 Jan 2020, 3:02 pm
From October 2017 until January 2019 Agnihotri was employed by Spartan Capital Securities, LLC. [read post]
24 Jun 2016, 9:48 am
Unfortunately for investors, according to the SEC’s Edgar database, on June 9, 2016, ICON Capital, LLC, the Investment Manager of the Registrant, notified the registered representatives of the shareholders of the Registrant that the Registrant’s distribution rate will change effective July 2016. [read post]
4 Dec 2023, 4:58 am
It also stated that there would need to be a management agreement whereby GF would charge ENGenuity a monthly fee for services, and that GF would lend ENGenuity $100,000 for “initial working capital” to be repaid over five years. [read post]
30 Dec 2019, 5:47 am
Nearly every aspect of the offering raised unanswerable questions from GPB Capital’s senior management, fantastical business claims, and intra-fund lending practices. [read post]
3 Jan 2021, 7:28 am
It Was COVID (BrokeAndBroker.com Blog)SEC Charges Equialt Managing Director of Investments for Unlawful Sales of Securities to Elderly Retail Investors (SEC Release)SEC Charges Individuals with Fraud for Misappropriating Investor Funds (SEC Release)FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded / Firm Also Fined $350,000 for Failing to Reasonably Supervise Recommended Securities… [read post]
3 Jan 2023, 2:09 pm
Defendant Grant Cardone founded Cardone Capital, LLC, which managed Cardone Equity Fund V, LLC and Cardone Equity Fund VI, LLC (collectively, the “Funds”). [read post]
30 Apr 2012, 3:00 am
The defendants' counsel submitted a letter citing a Delaware Chancery Court decision, R&R Capital, LLC v. [read post]
