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30 Sep 2019, 5:41 am
Hoffman, formerly registered with LPL Financial LLC (LPL Financial) and Union Capital Company (Union Capital) was subject to charges of securities fraud by The Securities and Exchange Commission (SEC) according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
31 Aug 2009, 6:24 pm
The companies reported that they have received a commitment from Carmel Landmark LLC, a subsidiary of San Francisco-based real estate investment fund Carmel Partners Fund III LLC, for $15 million of debtor-in-possession (or DIP) financing. [read post]
20 Nov 2007, 11:30 am
It was backed by VC firms Idealab, Highland Capital Partners LLC and Sequoia Capital Partners. [read post]
5 Jun 2012, 5:42 pm
The members should have an obligation to make additional capital contributions upon the occurrence of certain events. 3. [read post]
6 Jul 2015, 12:57 pm
LongPath Capital, LLC v. [read post]
9 May 2016, 5:00 am
IA-4140 (July 14, 2015) (notice) and IA-4172 (August 14, 2015) (order) Starwood Capital Group Management, LLC, Investment Advisers Act Release Nos. [read post]
27 Apr 2018, 10:44 am
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. [read post]
23 Jul 2014, 8:59 am
The Financial Industry Regulatory Authority (FINRA) accused Mustaphalli of soliciting money for his fund, Mustaphalli Capital Partners, and receiving commissions over a six month period in 2011. [read post]
After the Hulk Hogan Lawsuit Funding Flap, Is it Time for a Look at Litigation Financing Regulation?
5 Jun 2016, 5:15 pm
Gerchen Keller Capital LLC has raised funding commitments of $1.4 billion from institutional investors. [read post]
29 May 2023, 8:48 pm
The defendants denied that the plaintiff lacked access to the financial records and alleged that the plaintiff purported to exercise its right to purchase their membership interests despite knowing that it lacked the funds to complete the purchase. [read post]
17 Mar 2020, 7:23 am
” “In Continental Circuits LLC v. [read post]
23 May 2014, 5:00 am
Dimensional, a private equity fund, was owned by JDS Capital, a firm founded by Joseph Samberg. [read post]
26 Jul 2018, 11:41 am
The Aequitas Funds include: Aequitas WRFF I Aequitas Private Client Fund Aequitas Income Protection Fund Aequitas ETC Founders Fund Aequitas Income Opportunity Fund II Aequitas Enhanced Income Fund Aequitas Commodities Fund Aequitas Capital Opportunities Fund Aequitas Secured Subordinated Promissory Notes Ling entered the securities industry in 2000. [read post]
9 Oct 2016, 7:24 am
Och-Ziff Capital Management Group (Och-Ziff), A New York-based alternative investment and hedge fund manager, agreed to pay a combined total amount of U.S. criminal and regulatory penalties of approximately $412 million to settle charges it violated the Foreign Corrupt Practices Act. [read post]
8 Apr 2016, 3:12 pm
Unfortunately for many investors, this would be a significant loss on their capital investment of $20.00 per share. [read post]
29 May 2018, 12:00 am
According to the amended complaint, in December 2016, Rory Cowan, acting on behalf of Lionbridge Technologies, Inc. as the CEO, signed a plan of merger agreement to combine his company with HIG Capital LLC. [read post]
1 Jul 2010, 8:22 am
“This is a classic case of Wall Street trying to capitalize on the worst instincts of investors. [read post]
24 Jan 2019, 5:01 am
James Thorpe, Northlake Capital & Development, 3917 Densmore LLC, and Chris Walters have each been cited for 11 willful and serious violations. [read post]
28 Feb 2007, 7:52 am
[7] The reforms that were actually implemented were few, however, and just last fall, Amaranth Advisors LLC lost $6.4 billion after making large bets in the natural gas markets, prompting the latest round of calls for new regulations. [8] The impact on the global markets from the Amaranth disaster was not as drastic as LTCM because, even though Amaranth lost more of its capital than LTCM, it was far less levered. [read post]
17 Aug 2013, 12:17 pm
We have defended debt collection lawsuits filed by numerous debt collectors, including A&A North American Financial, American Express, Arrow Financial Services, Asset Acceptance LLC, CACH LLC, Capital One, Cavalry Portfolio Services, Chase Bank USA, Chrysler Credit Corporation, Citibank, Discover Bank, Equable Ascent Financial, FIA Card Services, HFC Collection Center, HSBC Bank, Hudson & Keyse, JGB Portfolio Services, JP Morgan Chase, LVNV Funding,… [read post]
