Search for: "Capital Management Securities"
Results 581 - 600
of 10,575
Sorted by Relevance
|
Sort by Date
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
2 Feb 2024, 9:45 am
The Securities and Exchange Commission today announced that Brian Sewell and his company, Rockwell Capital Management, agreed to settle fraud charges in connection with a scheme that targeted students taking Sewell’s online crypto trading course known as…Read the Full Press Release Have a securities law question? [read post]
14 Jun 2022, 10:38 am
The Securities and Exchange Commission today charged New Jersey-based investment adviser Energy Capital Partners Management LP (ECP) with allocating undisclosed, disproportionate expenses to a private equity fund it advises. [read post]
20 Jan 2012, 3:00 am
However, depending on how you manage your planning, you also may be incurring unnecessary gift or estate taxes on your end… and inheritance or capital gains taxes on the recipient's end. [read post]
13 Mar 2023, 4:17 am
National Securities Corporation (4 Cir Opinion) ... [read post]
McShane et al. on Predicting Securities Fraud Settlements and Amounts: A Hierarchical Bayesian Model
24 Jul 2012, 6:47 pm
McShane of the Northwestern University School of Management, and colleagues, have published Predicting Securities Fraud Settlements and Amounts: A Hierarchical Bayesian Model of Federal Securities Class Action Lawsuits, Journal of Empirical Legal Studies, 9, 482–510 (2012). [read post]
29 Aug 2018, 6:06 pm
Agency capitalism has given rise to new “agency costs” that must not only be addressed by the leaders of public companies, participants in the capital markets and the Securities and Exchange Commission, but also by corporate law. [read post]
11 Jan 2023, 11:01 am
Both are limited partnerships that had New York-based GPB Capital as the general partner and were sold pursuant to Regulation D of the Securities Act of 1933. [read post]
14 Feb 2012, 3:33 pm
Last month, the Second Circuit Court of Appeals in Capital Management Select Fund Ltd. v. [read post]
3 Jan 2008, 4:31 am
Breeden Capital Management, Mr. [read post]
16 Jan 2018, 12:53 pm
First time fund managers often are surprised by how long it takes to secure enough capital commitments to hold a fund’s initial closing, particularly when seeking commitments from institutional investors. [read post]
25 Feb 2009, 1:10 pm
The SEC charged Westgate Capital Management, LLC, a Pearl River, N.Y., investment management firm, and its managing member, James M. [read post]
25 Mar 2019, 9:15 am
Broker William Matthew Crafa and wealth management firm Royal Alliance Associates, Inc are the subject of a FINRA claim on behalf of investors regarding the solicitation and recommendation to purchase GPB Capital Holdings private placement securities. [read post]
30 Aug 2018, 5:51 am
Carryl, who allegedly held himself out as an investment advisor, purportedly operated Carryl Capital Management (CCM), an investment management firm with offices in New York City. [read post]
28 Sep 2021, 8:00 am
In an order issued on September 24th, 2021, the Securities and Exchange Commission (“SEC”) settled with Thomas Powell, Stefan Toth, and two entities they owned, Homebound Resources LLC (“Homebound”) and Resolute Capital Partners LTD LLC (“RCP”) on several charges of investment and securities fraud relating to oil and gas securities offerings. [1] The SEC’s order concerns a period of time from 2016 through 2019, during… [read post]
29 Jun 2012, 9:05 pm
Falcone, Harbinger Capital Partners Offshore Manager, L.L.C., and Harbinger Capital Partners Special Situations GP, L.L.C. [read post]
18 Dec 2010, 10:14 am
The Capital Markets subcommittee also has oversight of all matters related to capital markets activities such as business capital formation and venture capital, and derivative instruments.While there will be a number of very important issues on the subcommittee’s plate during the 112th Congress, said Rep. [read post]
3 Jan 2020, 1:46 pm
Prior to that he worked at Crown Capital Securities and Independent Financial Group, LLC. [read post]
21 Mar 2016, 8:54 am
The investment attorneys at Gana LLP are investigating the potential unsuitable sales of securities sponsored by Bradford Energy Capital (Bradford). [read post]
14 Dec 2011, 6:47 pm
A once-prominent Indiana money manager acknowledged that he operated a Ponzi scheme that defrauded investors out of at least $7 million. [read post]
