Search for: "Investment Management Company LLC"
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23 Jul 2014, 5:55 am
LPL Financial was alleged to have deficient supervision in the sale of alternative investment products, including REITs, oil and gas partnerships, business development companies (BDC’s), hedge funds, managed futures, and other illiquid pass through investments. [read post]
5 Jul 2010, 1:55 pm
The company sold $205,000 in Provident private placements. [read post]
22 Nov 2011, 3:10 pm
The attorneys at Eccleston Law have launched an investigation of the Solaris Opportunity Fund, its investmetn advsior Solaris Management, LLC, and Patrick G. [read post]
20 Dec 2018, 9:04 am
McIntyre and his company, Silver Oak Land Management, LLC. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
14 Oct 2021, 5:16 pm
Sources: SEC Charges Investment Adviser Firm and President With Custody FailuresRedwood Wealth Management, LLC and Benjamin Lincoln [read post]
14 Oct 2021, 5:16 pm
Sources: SEC Charges Investment Adviser Firm and President With Custody FailuresRedwood Wealth Management, LLC and Benjamin Lincoln [read post]
18 Oct 2011, 2:09 pm
The Owner/Manager would offer the opportunity to invest in the Requestor to additional physicians. [read post]
15 Dec 2022, 4:50 pm
Patel in the form of volume-based commissions paid to an independent contractor recruiter, Corum Group LLC, which used an associated company, Avior, to pay kickbacks to Dr. [read post]
30 Apr 2021, 6:35 pm
Could the DAO’s activities cause it inadvertently to be deemed an investment company under the US Investment Company Act ? [read post]
12 Dec 2011, 3:34 pm
Rooney and Solaris Management, LLC, ND IL, No. 1:11-cv-08264)Although the adviser finally told fund investors about the investments, noted the SEC, he allegedly falsely told them he became chairman of the company in order to safeguard the fund’s investments. [read post]
8 Apr 2021, 7:01 am
According to BrokerCheck records financial advisor Stuart Pearl (Pearl), currently employed by International Assets Investment Management, LLC (International Assets) and formerly employed by David A. [read post]
26 Jan 2018, 3:53 am
Speak With an Investment Fraud Attorney at Zamansky LLC Zamansky LLC is a national investment fraud law firm that helps individual investors recover their investment losses. [read post]
3 Jan 2013, 11:11 am
Warburg Pincus acquired JHP Pharmaceuticals from JHP Holdings LLC, an entity majority-owned by Morgan Stanley Principal Investments. [read post]
7 Sep 2021, 6:41 am
The complaint also names Livingston Group Asset Management Company, d/b/a Southport Capital, which is a registered investment adviser firm owned and controlled by John Woods. [read post]
8 Feb 2021, 6:13 am
From November 2018 until May 2019 Pan was associated with Axiom Capital Management, Inc. [read post]
5 Nov 2015, 9:51 am
(the “Fund”) or its investors that Fenway Partners caused certain portfolio companies of the Fund to cancel management services agreements—subject to management fee offsets—between Fenway Partners and portfolio companies. [read post]
16 Feb 2016, 4:50 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
10 Feb 2014, 3:06 am
My guess, however, is that such agreements are relatively infrequent given the great preponderance of small, member managed, minimally capitalized companies formed each year in New York as LLCs. [read post]
28 May 2018, 10:13 am
In-person presentations or seminars marketed specifically to senior investors with little experience managing their own investments. [read post]
