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11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly engaged in violation of United States Securities Law, breach of fiduciary duty, fraudulent and unregistered securities offering and making material misrepresentations to investors who they solicited to invest in Kinetic Funds I LLC, a purported hedge fund they managed. [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly engaged in violation of United States Securities Law, breach of fiduciary duty, fraudulent and unregistered securities offering and making material misrepresentations to investors who they solicited to invest in Kinetic Funds I LLC, a purported hedge fund they managed. [read post]
4 Mar 2020, 5:44 am
As at the time of investigation, Erik Pica’s employment as an investment adviser with John Stone Capital, LLC had been terminated. [read post]
4 Mar 2020, 5:44 am
As at the time of investigation, Erik Pica’s employment as an investment adviser with John Stone Capital, LLC had been terminated. [read post]
2 Mar 2020, 6:58 am
The company reportedly filed a form D private placement to raise capital from investors in 2019. [read post]
27 Feb 2020, 8:00 am
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development DDPs include products such as non-traded REITs, oil and gas offerings, equipment leasing products, and other alternative investments. [read post]
26 Feb 2020, 6:00 am
By Ryan O’Donnell Reprinted with permission from the February 25, 2020 issue of The Legal Intelligencer ©2020 ALM Media Properties, LLC. [read post]
26 Feb 2020, 4:04 am
O’Boyle, Jr., LLC, at chuck@cvoboyle.com. [read post]
25 Feb 2020, 6:00 am
GPB Capital Holdings, LLC, Case No. 2020-0054, is a derivative suit filed against GPB on behalf of investors and the GPB Auto and Holdings II funds. [read post]
22 Feb 2020, 6:11 am
” HDC, LLC v. [read post]
22 Feb 2020, 3:00 am
The firm provides a full suite of legal services to the investment management community, including hedge fund, private equity fund, venture capital fund, mutual fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
21 Feb 2020, 1:50 pm
The deal would turn the .ORG registry—run for 17 years by the nonprofit Public Interest Registry (PIR) organization—into a for-profit enterprise controlled by a private equity firm that is partially funding the deal with a $360 million term loan.The proposed transaction would increase the likelihood that the new for-profit PIR LLC could unfairly exercise its monopoly power to disadvantage non-profit organization consumers by reducing service levels, imposing onerous… [read post]
21 Feb 2020, 1:21 pm
Here is the press release: CHICAGO--(BUSINESS WIRE)--GLS Capital, LLC today announced the completion of fundraising of its inaugural litigation finance fund, GLS Capital Partners Fund I, LP. [read post]
20 Feb 2020, 10:44 am
On February 18, 2020, the SEC announced that it had sued EquiAlt LLC (as well as EquiAlt Fund, LLC, EquiAlt Fund II, LLC, EquiAlt Fund III, LLC, and EA SIP, LLC), owner and CEO Brian Davison, and managing director Barry Rybicki in federal court. [read post]
20 Feb 2020, 8:44 am
, “sought to provide shareholders with long-term capital appreciation and current income”. [read post]
20 Feb 2020, 7:54 am
From November 2006 through March 2016 Godin was registered with RBC Capital Markets, LLC. [read post]
20 Feb 2020, 6:41 am
Texas-Based Broker Sold GPB Private Placements To Retiree Couple Once again, Shepherd Smith Edwards and Kantas (SSEK Law Firm) has filed an investor fraud claim against a broker-dealer after its financial advisor sold investments in GPB Capital Holding’s funds to customers. [read post]
17 Feb 2020, 7:29 am
GPB Capital Holding’s funds include: GPB Cold Storage GPB Automotive Fund GPB Automotive Income GPB Holdings II and III GPB Waste Management GPB NY Development Raupp entered the securities industry in 2000. [read post]
14 Feb 2020, 6:31 am
Schwarcz (Duke University), on Tuesday, February 11, 2020 Tags: Contracts, Credit default swaps, Derivatives, Risk, Securities regulation, Swaps S&P 500 CEO Compensation Increase Trends Posted by Aubrey Bout, Brian Wilby, and Perla Cruz, Pay Governance LLC, on Tuesday, February 11, 2020 Tags: Compensation disclosure, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for… [read post]
14 Feb 2020, 3:00 am
National/Federal Business Groups Try to Avoid Partisan Crossfire The Hill – Alex Gangitano | Published: 2/11/2020 Business groups are facing a new challenge as they look to advance their agendas in an increasingly polarized Washington and ahead of a contentious presidential election. [read post]