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29 Jul 2019, 10:01 am
Investors are still waiting for updated financial statements in two of the largest funds that are now a year past due. [read post]
6 Sep 2016, 7:55 am
Plaintiff provided this information only after he was authorized to do so by Principal.Principal owned shares in the investment company through an LLC, which was co-owned with his wife (the “LLC”). [read post]
23 Aug 2021, 12:14 pm
David Volpe (David John Volpe CRD# 2543478) is a former registered broker who has previously worked for First Financial Equity Corporation, LPL Financial LLC, and National Planning Corporation, all in Scottsdale, Arizona. [read post]
3 Dec 2010, 11:47 am
A low-profit limited liability company (L3C) is essentially a limited liability company (LLC) authorized under recent statutes passed in at least seven states. [read post]
5 May 2009, 6:55 am
First, the state is terminating its relationship with Aldus Capital, LLC, which had been a manager of a fund, in CRPTF's private equity class, consisting of small and emerging sub-funds managed by others. [read post]
7 Feb 2014, 3:03 pm
(Sometimes referred to in case law and LLC documents as "capital contributions"). [read post]
Hedge Fund Adviser’s Cert Petition Cites Federal-State Conflicts on Fiduciary Duty, Seller Liability
15 Sep 2015, 3:01 am
In September 2000, MFA agreed to become an investment adviser to a private hedge fund called Convergent and signed an agreement with Convergent’s General Partner, Emerging Health Capital Partners, LLC (EHCP). [read post]
20 Nov 2020, 7:02 am
The fund is co-managed by FS Global Advisor, LLC and GSO Capital Partners LP. [read post]
23 Dec 2015, 1:02 pm
On April 2, 2015, GMT merged Hughes with AAM, keeping the latter’s name for the newly-formed entity, and GMT itself began doing business under the name Atlantic Capital Holdings LLC. [read post]
23 Nov 2021, 11:02 am
At Zamansky LLC, we are committed to helping defrauded investors recover the losses they have sustained as a result of investing in GPB Capital funds. [read post]
2 May 2012, 5:00 am
Krieger, Legal Director, Huntsman Gay Global Capital, LLC Jason Ment, Partner, General Counsel & Chief Compliance Officer, StepStone Group LLC Helane L. [read post]
10 Apr 2017, 7:57 am
Risks of REITs Compared to traditional investments, such as stocks, bonds and mutual funds, non-traded REITS, are considerably more complex and involve a high degree of risk. [read post]
23 Apr 2018, 9:21 am
File 3-18127)https://www.sec.gov/litigation/admin/2018/ia-4895.pdfMartin Shkreli was the Managing Partner and the portfolio manager for hedge funds MSMB Capital Management LP and MSMB Healthcare LP and he also incorporated Retrophin LLC, a pharmaceuticals company that went public, by way of a reverse merger, at which time he served as the firm's President and CEO. [read post]
15 Jul 2018, 5:36 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, FINRA funding portal member Claimant StartEngine Capital LLC asserted the following (as set forth under "Case Summary" in the FINRA Arbitration Decision):Claimant alleged R... [read post]
11 Dec 2019, 10:11 am
According to filings with the SEC, Ocean Fund LTD is a hedge fund operated by Infinity Capital Advisors, LLC and has approximately $70.7 million in assets. [read post]
17 Jan 2010, 9:29 pm
Court of Appeals for the Fifth Circuit has affirmed the dismissal of LSF5 Bond Holdings LLC and Lone Star Fund V (U.S.) [read post]
13 Feb 2017, 11:00 am
First Capital noted they continue to work with Presidential and other potential sources of funding to address the notice of default. [read post]
26 Aug 2019, 3:44 am
What makes someone a member of an LLC? [read post]
5 Jan 2024, 7:03 am
The SEC has filed a complaint against property developer Rishi Kapoor, his companies Location Ventures, LLC (LV), URBIN, LLC (URBIN) and multiple subsidiaries in relation to a $93 million fraud. [read post]
24 Jul 2009, 4:00 am
Loy gave the view of venture capital funds and how they operate differently than hedge funds. [read post]
