Search for: "Capital Funding, LLC "
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19 May 2017, 7:25 am
Meadlin (“Meadlin”), an investment adviser, and Hyaline Capital Management, LLC (“Hyaline”), his advisory firm. [read post]
7 Apr 2022, 12:30 pm
She was reportedly affiliated with the following firms, among others, during her career in the securities industry: 10/03/2016 – 06/11/2021, CETERA ADVISORS LLC (CRD#:10299), AVON, CT, 01/04/2008 – 10/03/2016, INVESTORS CAPITAL CORP. [read post]
12 Sep 2022, 3:29 am
The case against Energy Innovation Capital Management, LLC is illustrative of items to pay attention to when checking management fee calculations. [read post]
20 Jun 2008, 7:33 pm
The Fund, whose objective was to provide current income with preservation of capital and low principal fluctuation, invested 83.25% of its assets in commercial and residential fixed and variable rate mortgage backed securities, including collateralized mortgage obligations. [read post]
6 Dec 2018, 5:48 pm
The Attorneys General of 42 states and the District of Columbia (collectively, the States) have entered into an Assurance of Voluntary Compliance/Assurance of Discontinuance (Agreement) with Encore Capital Group, Inc. and its subsidiaries, Midland Funding, LLC and Midland Credit Management, Inc., (collectively, Midland) to settle allegations relating to Midland’s debt collection practices. [read post]
7 Mar 2011, 2:42 pm
As a result, the attorneys at Eccleston Law have expanded their investigation of this fraud and are actively seeking victims to come forward with information.In early 2011, the SEC obtained a court order freezing the assets of Stamford, Connecticut based investment adviser Michael Kenwood Capital Management, LLC and its principal, Francisco Illarramendi for allegedly misappropriating at least $53 million in investor funds and engaging in self dealing… [read post]
13 Jun 2016, 6:46 am
An SEC investigation found that Blackstreet Capital Management, LLC (“Blackstreet”) and its principal performed in-house brokerage services rather than using investment banks or broker-dealers to handle the acquisition and disposition of portfolio companies for a pair of advised private equity funds. [read post]
3 Feb 2016, 10:42 am
Because regulators demand more capital for holding risky assets, when funds try to sell bad positions it can be harder to find buyers for the securities in those portfolios. [read post]
10 Dec 2018, 3:43 pm
LAGP is owned indirectly by funds managed by Fengate Asset Management (“Fengate LAGP US I, LLC”, 83.3%) and PCL Investments USA, LLC (“PCL LAGP Partnership LP”, 16.7%). [read post]
27 Oct 2015, 6:24 am
Thereafter, from August 2011, until August 2015, Potter was a registered representative with Cambria Capital, LLC out of the firm’s Salt Lake City, Utah office location. [read post]
16 Aug 2018, 5:48 pm
ETF Fraud Lawsuit Seek Damages from Elkhorn Capital Group Founder Keystone Associates LLC and Mountain Partners LLC, two companies based in Utah, are now suing ex-Elkhorn Capital Group CEO and founder Benjamin Fulton for fraud. [read post]
21 Apr 2014, 7:08 am
Hedge Fund General Partner CPO Registration Relief In a series of no-action letters issued in March, the CFTC has granted no-action relief from registration as a commodity pool operator (“CPO”) for a general partner of a fund (or a managing member, if the fund is an LLC) that delegates its entire management authority over the fund to another entity – typically an “investment manager” entity – that is under common… [read post]
21 Nov 2008, 12:29 pm
BH S&B Holdings, created by hedge funds and former owners of Steve & Barry's, filed for bankruptcy protection today in Manhattan federal court. [read post]
5 Jan 2011, 10:39 am
Pacific Capital Bank, N.A. [read post]
11 Jun 2012, 12:19 pm
In this case, LVNV Funding, LLC (LVNV), represented by Rubin & Rothman, LLC (Rubin & Rothman), had sued a consumer, Ms. [read post]
10 Apr 2012, 11:33 am
RadLAX Gateway Hotel, LLC v. [read post]
17 Nov 2011, 11:51 am
SV Investment Partners, LLC v. [read post]
17 Nov 2022, 4:51 am
From its base in the Philadelphia area, Renovus manages over $1 billion across its sector-focused funds and other strategies. [read post]
19 Sep 2017, 4:20 am
Miami Capital, LLC (Index No. 651003/2015). [read post]
21 Apr 2009, 12:41 pm
Moreover, the breaches by Emery Bay of the loan documents benefited PKI by diverting cash that Emery Bay was supposed to use to repay the loan which PKI would have otherwise had to fund through capital contributions. [read post]
