Search for: "Security Funding Company "
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13 Feb 2009, 2:52 pm
However, given the power of institutional investors like hedge funds to move markets and affect prices for securities, a general feeling is growing that small investors want to know what hedge funds are doing. [read post]
23 Sep 2014, 7:00 am
The Securities and Exchange Commission has been making lots of noise about how its unhappy with how private equity firms are allocating expenses to portfolio companies. [read post]
2 Apr 2020, 12:00 pm
PIMCO Dynamic Income Fund is a non-diversified, closed-end management investment company. [read post]
25 Apr 2019, 12:45 pm
SEC Accuses Investment Adviser of Misappropriating Funds from Hedge Funds The US Securities and Exchange Commission (SEC) has secured an emergency asset freeze, as well as a temporary restraining order, to stop an ongoing allegedly fraudulent securities offering that was purportedly conducted to conceal the misappropriation of about $570K from hedge fund clients. [read post]
30 Mar 2017, 12:43 pm
The fund seeks to invest in securities of companies that are operating across diversified sectors. [read post]
18 Jul 2007, 12:31 pm
In its sanctioning order, the NASD said the broker negotiated an arrangement with a mutual fund company to have thousands of dollars of brokerage commissions directed to him every month and that Securities America approved the arrangement for almost two years while it received $420,000 in directed commissions from the fund company for the broker's benefit, of which $262,000 was paid to the broker. [read post]
26 Mar 2012, 8:29 am
The charges relate to funds raised for A&O Companies, the company for which Olson was the president (the company’s CEO, Edward A. [read post]
5 Apr 2015, 9:18 pm
Workers' compensation benefits are provided by private insurance companies or a state injury fund, and disputes between workers and their employers' insurance companies are adjudicated by state agencies. [read post]
9 Oct 2018, 2:25 am
On 8 October 2018, the FCA published a memorandum of understanding (the MoU) it has entered into with the Securities and Futures Commission of Hong Kong (SFC) concerning the mutual recognition of covered funds and covered management companies and related cooperation. [read post]
23 Mar 2017, 7:52 am
The company often raises money for investments through Reg D private placement offerings like the company did for Atel Capital Equipment Fund X. [read post]
27 Aug 2010, 2:35 am
An alternative explanation may be that while the D&O insurance funds a "substantial portion" of settlements, that still leaves a substantial portion unfunded, and the burden on the companies to fund the difference harms them financially. [read post]
22 May 2020, 10:21 am
Recovery of Investment Losses The White Law Group is investigating potential securities fraud claims involving selling agents or financial advisors who may have improperly recommended the following TCA funds to retail investors: TCA Global Credit Fund LP TCA Global Credit Master Fund LP TCA Global Credit Fund LTD If you have suffered losses investing in TCA Global Credit Funds, the securities attorneys at The White Law Group may be able… [read post]
8 Jun 2013, 12:19 pm
The SEC charged Whittier Trust Company and fund manager Victor Dosti, a South Pasadena, Calif. [read post]
14 May 2015, 7:57 am
Securities and Exchange Commission’s (“SEC”) Division of Investment Management (“Division”) recently released a Guidance Update (“Guidance”) highlighting the importance of cybersecurity for registered investment companies (“funds”) and registered investment advisers (“advisers”). [read post]
20 Mar 2020, 12:47 am
Texas Lieutenant Governor Dan Patrick Urges Senior Citizens To Die For the Economy[In]Securities Guest Blog: In Dreams by Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Microcap Company and Its CEO with Fraud (SEC Release)SEC Charges Investment Adviser for Failing to Disclose Conflicts (SEC Release)PokerStars Founder Pleads Guilty (DOJ Release)SEC Extends Conditional Exemptions From Reporting and Proxy Delivery Requirements for Public Companies, Funds,… [read post]
2 Oct 2021, 7:52 am
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler / Oct. 5, 2021 (BrokeAndBroker.com Blog)Two New Jersey Men Arrested And Charged With Securities Fraud For Scheme To Defraud Investors In Hemp Company / Vitaly Fargesen and Igor Palatnik Misappropriated Approximately $4 Million of Investor Funds (DOJ Release)SEC Charges Hemp Company and Co-Founders With Fraud (SEC Release)... [read post]
23 Oct 2011, 8:50 am
The SEC announced additional charges in its insider trading case against Denver-based traders who traded on confidential information in the securities of Mariner Energy Inc. ahead of the oil and gas company’s $3.9 billion takeover by Apache Corporation in April... [read post]
7 Nov 2022, 12:20 pm
Among other things, the report asserts that “Enviva claims to be a pure play ESG company with a healthy, self-funded dividend and cash flows to provide a platform for future growth. [read post]
26 Aug 2023, 8:52 am
Borrowing money, securities, or other private fund assets, or receiving a loan or extension of credit, from a private fund client. [read post]
22 Feb 2013, 6:53 am
According to their website the company has over 30 years experience investing in the oil and gas industry. [read post]
