Search for: "Capital Management Securities"
Results 661 - 680
of 10,579
Sorted by Relevance
|
Sort by Date
8 Oct 2007, 5:24 am
Flowers & Company has reportedly secured $15 billion for a bid, and Cerberus Capital Management has been reported as [...] [read post]
11 Oct 2007, 4:02 am
The New York hedge fund adviser Sandell Asset Management has agreed to pay more than $8 million to settle charges that it engaged in improper short sales in connection with the merger of Hibernia and Capital One Financial, securities regulators said on Wednesday. [read post]
21 Mar 2022, 11:09 am
If you are concerned about investments with Geneos Wealth Management Inc., the securities attorneys at The White Law Group may be able to help you. [read post]
8 Sep 2016, 12:05 pm
If you suffered losses investing in American Realty Capital Properties or another ARC REIT and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at (888) 637-5510. [read post]
26 Nov 2013, 12:11 pm
“Ambassador Capital Management and Oglesby weren’t truthful about whether securities in the portfolio threatened to destabilize the fund, and they failed to operate under the strict conditions designed for money market fund managers to limit risk exposure and maintain a stable price. [read post]
28 May 2012, 9:30 pm
The Securities and Exchange Commission has filed charges against fund manager Jason J. [read post]
26 May 2021, 1:26 pm
In First Landing’s case, it invested all of its capital in Prophecy Asset Management, L.P. [read post]
30 May 2012, 7:43 pm
(the "Fund"), along with GLR Capital Management, LLC ("GLR Capital"), which acted as the Fund's general partner, and GLR Advisors, LLC ("GLR Advisors"), which acted as investment advisor to the Fund. [read post]
30 Oct 2020, 8:38 am
According to the Commission, the conditions are intended to: (1) protect money, securities, and property of security-based swap customers; (2) address certain differences in the statutory requirements of the Exchange Act and the CEA; and (3) promote appropriate risk management and disclosure.After the 2012 order, the SEC has monitored the BD/FCMs participating in the portfolio margining program and the overall market for cleared credit default swaps. [read post]
18 Feb 2012, 10:09 am
On February 14, 2012, the Virginia Division of Securities and Retail Franchising proposed revised regulations exempting certain private fund managers from investment adviser registration with the Commonwealth of Virginia. [read post]
13 Jul 2011, 6:36 pm
A general partnership interest in a partnership or a managing member (or a member of a member-managed LLC) generally is not a security. [read post]
27 Dec 2019, 6:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4985/securities-industry-commentator/Swiss Asset Management Firm And Its Owner Charged In Manhattan Federal Court For Orchestrating Stock Manipulation Scheme / Danish National Who Participated in the Scheme Is Also Charged (DOJ Release)SEC Charges Six Individuals in International Microcap Fraud Schemes (SEC Release)Alleged Dark… [read post]
17 Jan 2020, 12:06 am
(BrokeAndBroker.com Blog)Founder Of Meridian Capital Asset Management Sentenced To Two Years In Prison For Stealing Over $1 Million Of Investor Funds (DOJ Release)FINRA Imposes Fine and Suspension for Rep's Forgery of Estranged Wife's Signature on Line of Credit Application. [read post]
14 Feb 2020, 7:46 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5071/securities-industry-commentator/Morgan Stanley to Acquire E*TRADE, Creating a Leader in all Major Wealth Management Channels (BusinessWire)Members Exchange Closes Additional Round of Strategic Financing, Announces July 24th Launch Date / Strategic Investment led by J.P. [read post]
2 Jun 2022, 3:07 pm
One such approach is "stakeholder capitalism. [read post]
5 Nov 2021, 9:55 am
Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC were…Read the Full Press ReleaseHave a securities law question? [read post]
18 May 2020, 3:15 pm
King practices in the area of corporate and securities law, representing clients in connection with complex financings, mergers and acquisitions, venture capital and private securities offerings. [read post]
27 Feb 2007, 4:59 am
Mace Security International said on Monday that it had rejected a $3-a-share buyout offer from Kelly Capital Management but was holding talks for a possible higher offer from the investment firm. [read post]
8 Dec 2020, 5:51 am
The Securities and Exchange Commission today announced that UK-based investment adviser BlueCrest Capital Management Limited has agreed to pay $170 million to settle charges arising from inadequate disclosures, material misstatements, and misleading…Read the Full Press ReleaseHave a securities law question? [read post]
5 Nov 2021, 9:55 am
Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC were…Read the Full Press ReleaseHave a securities law question? [read post]
