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27 Feb 2021, 6:36 am
Posted by Alissa Kole, GOVERN, on Saturday, February 27, 2021 Editor's Note: Alissa Kole is the Managing Director of GOVERN. [read post]
24 Dec 2014, 10:54 pm
(May 29, 1997), Angel Capital Electronic Network (October 25, 1996), FundersClub Inc. and FundersClub Management LLC (March 26, 2013) and AngelList LLC and AngelList Advisors LLC (March 28, 2013). [read post]
8 Mar 2011, 5:00 am
Goldfarb of Baystar Capital Management agreed to pay a hefty fine to settle claims brought by the Securities and Exchange Commission for misuse of his investment fund’s assets. [read post]
8 Mar 2011, 5:00 am
Goldfarb of Baystar Capital Management agreed to pay a hefty fine to settle claims brought by the Securities and Exchange Commission for misuse of his investment fund’s assets. [read post]
5 May 2017, 12:47 pm
Investment Services and Wittman Capital Management of Henderson, Nevada. [read post]
16 Nov 2010, 5:25 am
After UBS Securities sued Highland Capital Management to recoup certain investment losses, the New York County Supreme Court denied Highland's dismissal request and an appeal followed. [read post]
1 Aug 2019, 11:15 am
” Securities Fraud Lawsuits The White Law Group is investigating potential lawsuits regarding the liability that Taylor Capital Management may have for failure to properly supervise Heafner. [read post]
5 Apr 2021, 6:23 am
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development Goldberg entered the securities industry in 1994. [read post]
31 Oct 2016, 4:48 am
A recent Securities and Exchange Commission case demonstrates how issues of mortality raise troubling legal and regulatory concerns.Case In Point On Aug. 15, 2016, the Securities and Exchange Commission ("SEC") filed an Order Instituting Administrative and Cease-and-Desist Proceedings (“OIP") against Eden Arc Capital Management, LLC (“EACM”), an SEC-registered investment adviser from October 31, 2012 to February 23,… [read post]
25 Apr 2019, 9:07 am
The Securities and Exchange Commission today announced the inaugural members of the Small Business Capital Formation Advisory Committee. [read post]
26 Nov 2013, 11:00 am
See Carolina Capital Mkts. [read post]
25 Oct 2019, 6:56 am
Kisner has been affiliated with Surevest Wealth Management since 2009, and was the subject of a separate Nevada Secretary of State regulatory action in 2009 regarding Surevest. [read post]
20 Oct 2012, 2:37 pm
According to the Wall Street Journal, Guggenheim Partners, Harbinger Capital Partners, and Apollo Global Management are just some of the money managers who have begun to acquire fixed annuities. [read post]
11 Jul 2010, 10:02 am
On July 8, 2010, the SEC settled an administrative proceeding against Ephraim Fields (Fields), the owner and manager of a registered investment adviser, Clarus Capital Management, LCC (Clarus Management). [read post]
29 Jul 2011, 5:00 am
Janus Capital Grp. v. [read post]
26 Jul 2022, 9:01 pm
Next, the facilitation of capital formation is another element of the SEC’s mission. [read post]
9 Feb 2022, 11:27 am
Ex-Landolt Securities Broker Ran Now-Defunct Retirement Planning Institute Anthony Matthew Cottone, an ex-Landolt Securities stockbroker, has been charged by the US Securities and Exchange Commission (SEC) with fraudulently running Secured Capital Strategies Fund. [read post]
8 May 2023, 5:58 am
Below is a partial memo issued by the Office of Personnel Management. [read post]
11 Aug 2016, 2:55 pm
District Court for the Southern District of New York and charges Mitsakos and Matrix Capital Markets with violating the antifraud provisions of the federal securities laws. [read post]
8 Jul 2013, 1:09 pm
This process includes a variety of considerations ranging from choice of jurisdiction, capital requirements and financing structure to securities law compliance and potential exit strategies. [read post]
