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7 Dec 2018, 4:05 am
Richard Kalikow and Jonathan Kalikow (collectively, “Lenders”), who were the principals of Gamma Funding, LLC. [read post]
3 Dec 2018, 7:00 am
(operating under the brand Xact Data Discovery, XDD USA) by a private equity firm, JLL Partners Fund VII, L.P. [read post]
29 Nov 2018, 3:25 pm
" Alliance Royalties, LLC v. [read post]
22 Nov 2018, 7:11 am
Investors dealt with the defendants entities including Global Credit Recovery, LLC (Global Credit Recovery), Delmarva Capital, Rhino Capital, DeVille Asset Management, and Riverwalk Financial Corporation. [read post]
9 Nov 2018, 7:00 am
Time to Renew Registrations for RIAs and BDs; SEC Allows Mutual Fund Boards to Rely on CCOs, and NFA kicks out Members for Failure to Pay Dues: Regulatory Update for November 1, 2018 by Hardin Compliance Consulting LLC Annual Renewal Program for IARD System: Get out your checkbooks! [read post]
Offshored and Offloaded: A cautionary tale for both Private Equity Investors and Portfolio Companies
8 Nov 2018, 6:22 am
Allegations of mismanagement, oppression, and accounting disputes are the common accusations when conflicts arise between private equity funds and shareholders of companies being added to private equity portfolios. [read post]
Offshored and Offloaded: A cautionary tale for both Private Equity Investors and Portfolio Companies
8 Nov 2018, 6:22 am
Allegations of mismanagement, oppression, and accounting disputes are the common accusations when conflicts arise between private equity funds and shareholders of companies being added to private equity portfolios. [read post]
6 Nov 2018, 11:51 am
Distressed funds are expected to bridge the gap in finance by providing mezzanine loans with equity kickers if a particular event is triggered. [read post]
31 Oct 2018, 2:20 pm
Sheikh, Venable LLP, ro hac vice.Waterfall Eden Master Fund, Ltd., Intervenor, represented by Andrew Dieter Cordo, Ashby & Geddes, Michael Hanin, Kasowitz Benson Torres LLP, pro hac vice & Uri Itkin, Kasowitz Benson Torres LLP, pro hac vice.Waterfall Delta Offshore Master Fund, LP, Waterfall Sandstone Fund, LP., Baldr Sherwood Fund, Inc., One William Street Capital Master Fund, Ltd., OWS ABS Master Fund II, L.P., OWS COF I Master, L.P.,… [read post]
29 Oct 2018, 12:50 pm
Montoya, a Boston hedge fund manager, has pleaded guilty to operating a multi-billion dollar Ponzi scam involving the RMA Strategic Opportunity Fund, LLC. [read post]
26 Oct 2018, 12:44 pm
” One of the entities, AEGON USA Investment Management LLC, served as the sub-adviser in implementing the models in clients’ accounts. [read post]
25 Oct 2018, 10:00 am
Let’s say you’re a 65-year-old retiree with $1 million in your retirement funds. [read post]
24 Oct 2018, 4:33 pm
John Reed Stark Most readers are undoubtedly familiar with the concept of “insider trading” – that is, the purchase or sale by company insiders of their personal holdings in company shares based on material non-public information. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Broker-dealers, Capital requirements, CFTC, SEC, Securities regulation, Swaps, Swaps entities The CEO Pay Ratio: Data and Perspectives from the 2018 Proxy Season Posted by Deb Lifshey, Pearl Meyer & Partners, LLC., on Sunday, October 14, 2018 Tags: Compensation disclosure, Compensation ratios, Disclosure, Dodd-Frank Act, Executive… [read post]
18 Oct 2018, 10:00 am
Your alternatives: have an emergency fund or even take out a home equity line of credit. [read post]
17 Oct 2018, 1:19 pm
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post For Retail Investors, Market Volatility Means It’s Trick Or Treat Time appeared first on Zamansky LLC. [read post]
11 Oct 2018, 5:03 pm
Investors were to receive equity in the company in exchange for funding. [read post]
9 Oct 2018, 2:18 pm
Hedge funds are also often confused with private equity funds. [read post]
6 Oct 2018, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Barber customer complaints allege that Barber made unsuitable recommendations in equity securities. [read post]
6 Oct 2018, 10:08 am
The claim was filed in July 2018 and alleges various energy sector equities purchased in 2013 and 2014 were unsuitable causing $250,000 in damages. [read post]
