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25 Jan 2014, 8:47 am
” SAFE has recently taken over functions previously handled by CIC, including setting up a debt fund with the asset management unit of the International Finance Corp arm of the World Bank. [read post]
2 Apr 2021, 7:16 am
In February 2018, a customer filed a FINRA arbitration alleging that while he was registered with Madison Avenue Securities and Investors Capital Corp, Noel Ray Vincent recommended alternative investments such as mutual funds, real estate securities, BDCs, equipment leasing, among others. [read post]
2 Apr 2021, 7:16 am
In February 2018, a customer filed a FINRA arbitration alleging that while he was registered with Madison Avenue Securities and Investors Capital Corp, Noel Ray Vincent recommended alternative investments such as mutual funds, real estate securities, BDCs, equipment leasing, among others. [read post]
7 May 2010, 12:29 pm
However, pursuant to In re Scholastic Corp. [read post]
2 Apr 2023, 6:00 am
Morgan (Investor)Note: Funding Secured for Working Capital 10-November-21Driven (Merger)Innovative Discovery (Merger) 3-November-21Digital Safe Product Line of Micro FocusSmarshNote: Announced with intent to close in Q1 2022 2-November-21Everlaw (Investee)TPG (Lead) with HIG Growth Partners, Capital G, Menlo Ventures, Andreessen Horowitz and K9 Ventures.Series D Funding for $202,000,000 27 [read post]
4 Jan 2019, 5:10 am
The Committee on Foreign Investment in the United States (CFIUS) protects U.S. national security by regulating against attempts by foreign commercial efforts to obtain control in a U.S. trade or business. [read post]
2 Oct 2008, 1:41 pm
Corp. [read post]
8 Sep 2022, 9:01 pm
Thus, six years later, Congress said funds and advisers had to register, under the Investment Company Act and Investment Advisers Act of 1940. [read post]
25 May 2009, 9:42 pm
Instead, they claim that Schuster and Engle made high-risk investments for them, selling them securities in Royal Palm Capital Group and American Capital Corp while failing to explain the risks involved. [read post]
28 Jul 2020, 7:44 am
FSKR, the publicly-traded BDC called FS KKR Capital Corp. [read post]
4 May 2011, 7:40 pm
The repurchase is to settle securities allegations by the state’s attorney general that the financial firms did not adequately disclose the risks involved with investing in ARS. [read post]
8 Oct 2018, 10:36 am
According to the US government, McKelvy, who is a former co-owner of Mantria Corp., and two others allegedly sold fake investments in green energy and land to investors, including retirees and widows, and then used the funds to support their luxury lifestyles. [read post]
28 Jun 2011, 11:59 am
Smalbach found yet another way to evade legalities by selling stock in Transfer Technology International Corp., a firm whose shares are worth less than a penny each. [read post]
8 Oct 2018, 10:51 am
In September 2006 Davis was terminated from First Montauk Securities Corp. after allegations were made that Davis failed to follow procedures concerning unauthorized trading. [read post]
18 Aug 2017, 10:35 am
The Securities and Exchange Commission today announced that broker Banca IMI Securities Corp. [read post]
7 May 2012, 1:17 pm
Corp Fin published FAQs1-17 on April 16, 2012. [read post]
10 Jul 2023, 11:51 am
Background Mount Rainier Acquisition Corp. was a special purpose acquisition company (SPAC). [read post]
10 Mar 2008, 3:00 pm
Instability in SIV-related investments proves that even money market funds - supposedly almost as safe as Treasury securities - can lose value. [read post]
16 Jun 2020, 2:10 pm
§ 1344, et seq., as well as other statutes administered by the Army Corps of Engineers. [read post]
11 Dec 2010, 6:23 am
They face charges of securities fraud, falsifying corporate records and conspiracy. [read post]
