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6 Jun 2019, 12:12 pm
Securities Investigation- Direct Lending Income Fund L.P. [read post]
23 Apr 2020, 12:39 pm
The fund invests in the stocks of companies operating diversified gas infrastructure, midstream oil infrastructure, propane, oil and gas production, coal and marine transportation sectors, including at least 80% of its managed assets in master limited partnership entities, and at least 65% in equity securities of MLP entities. [read post]
31 Aug 2012, 10:13 am
Background Over the past few years, convertible debt has emerged as a quick and inexpensive method for startup companies to raise money from angel investors and early stage venture funds. [read post]
12 Nov 2020, 7:42 am
The company had mistakenly sent Revlon creditors $900 million of its own funds. [read post]
8 Jan 2018, 3:14 am
SEC Charges Connecticut Insurance Executive and Two Companies with Securities Offering Fraud (SEC Litigation Release No. 24028)https://www.sec.gov/litigation/litreleases/2018/lr24028.htmIn Securities and Exchange SEC v. [read post]
18 Jun 2014, 7:33 am
” The complaint alleges that from 2008 until 2013, Della Penna used these three private investment funds to raise $3.8 million by telling investors that their investments would be invested into small companies or traded in securities. [read post]
5 Sep 2012, 3:50 am
The SEC charged a California man with illegally tipping a hedge fund manager with inside information about Nvidia Corporation’s quarterly earnings that he learned from his friend who worked at the company. [read post]
24 May 2017, 9:13 am
Since the Securities and Exchange Commission has recently taken an increasingly closer look at the activities of private equity and venture capital fund managers, it is more important than ever for fund managers to understand when conflicts of interest are likely to arise and how to manage them properly. [read post]
15 Oct 2009, 2:56 pm
A warning from the Securities and Exchange Commission (SEC) in the form of a Wells Notice could have a direct impact on how Charles Schwab addresses current and future lawsuits and arbitration claims by investors who suffered losses in the Schwab YieldPlus Funds. [read post]
24 Mar 2004, 2:44 pm
In Wednesday's corporations and securities law news, Putnam Investments and the SEC are fighting over how much the company should pay in fines over its role in improper mutual fund trading in which it failed to stop six of its fund managers from allegedly making so-called market timing trades that lowered returns for shareholders. [read post]
19 Feb 2004, 6:52 am
In Thursday's corporations and securities law news, the NASD has fined a division of mutual fund company State Street $1 million for failing to stop improper trading in some of its mutual funds and also ordered $500,000 worth of restitution to some investors. [read post]
6 Sep 2012, 7:46 am
The SEC and numerous commentators expressed serious misgivings about crowd-funding and its potential for securities fraud. [read post]
4 Mar 2007, 5:24 pm
In recent years, hedge funds and other investors in distressed debt or the equity securities of bankrupt companies have taken active roles in Chapter 11 bankruptcy cases. [read post]
9 Nov 2012, 10:52 am
” According to the newsletter, in determining whether an issuer exercises control over, or is involved in the management of an investee company (which would disqualify the issuer from being considered an investment fund), staff will consider indicators including: (i) whether the issuer holds securities representing more than 10% of the outstanding equity or voting securities of the investee company; (ii) any right of the issuer to appoint… [read post]
16 Apr 2011, 11:43 am
The MFA strongly emphasized that the proposed 15-day period is simply inadequate for hedge fund managers to value illiquid securities. [read post]
9 May 2018, 10:56 am
Cybersecurity company Protego announced Wednesday it has raised $2 million in seed funding for its serverless security platform. [read post]
26 Jul 2007, 4:30 pm
The Department of Homeland Security is funding the creation an LED flashlight that uses powerful flashes of light to temporarily blind, disorient and incapacitate people. [read post]
25 Jan 2019, 10:43 am
American Growth Funding II – Securities Investigation Are you concerned about your investment in American Growth Funding II? [read post]
28 Jul 2015, 11:48 am
Oncobiologics has announced it has secured $31 million in funding. [read post]
13 Apr 2020, 9:52 am
Dealer Of GPB Capital And Wildermoth Endowment Strategy Fund (WESFX) appeared first on Securities Arbitration Lawyers Blog. [read post]
