Search for: "Capital Funding, LLC "
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7 Jun 2019, 11:26 am
The regulator announced its emergency action against Syed Arham Arbab, Artis Proficio Capital Management, LLC, and Artis Proficio Capital Investments, LLC this week. [read post]
7 Jun 2019, 6:36 am
According to BrokerCheck records financial advisor Christopher McClure (McClure), currently employed by Westport Capital Markets, LLC (Westport Capital) has been subject to at least two customer complaints and a regulatory action brought by the SEC during the course of his career. [read post]
7 Jun 2019, 6:09 am
Securities & Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation The Past and Present of Mutual Fund Fee Regulation Posted by Quinn Curtis (University of Virginia), on Thursday, June 6, 2019 Tags: Asset management, Fiduciary duties, Fund litigation, Fund… [read post]
4 Jun 2019, 10:24 am
According to the DI Wire, FS/KKR Advisor LLC, a partnership between FS Investments and KKR Credit Advisors LLC, are planning to merge four non-traded business development companies under its advisement. [read post]
4 Jun 2019, 7:49 am
§ 45(a), given Monahan’s utter failure to use the funds for those purposes. [read post]
3 Jun 2019, 1:21 pm
”The SEC's complaint, filed Friday in federal district court in Athens, Georgia, charges Arbab, Artis Proficio Capital Investments LLC, and Artis Proficio Capital Management LLC, with violating the antifraud provisions of the federal securities laws. [read post]
3 Jun 2019, 7:11 am
In Wright’s view, this could potentially open up the floodgates for funding, and he noted that we have the tools to provide access to capital. [read post]
1 Jun 2019, 10:21 am
Morgan, Morgan Mezzanine Fund Manager LLC, & Morgan Acquisitions LLC ? [read post]
29 May 2019, 5:06 pm
Need to fund terrorist-related activities? [read post]
28 May 2019, 3:40 am
The provision in question then limited advancement rights to such directors and officers as undertook to repay advanced funds not entitled to indemnification. [read post]
25 May 2019, 12:37 pm
Cubic Energy, Hilltop’s predecessor company, filed for bankruptcy in 2015 and emerged from bankruptcy in 2016 under the control of a group of bondholders led by funds managed by Anchorage Capital Group LLC. [read post]
24 May 2019, 9:41 am
In return, the individuals’ human capital adds value to the enterprise. [read post]
24 May 2019, 6:01 am
Ganske, Jones Day, on Tuesday, May 21, 2019 Tags: Capital allocation, Disclosure, Long-Term value, Repurchases, Securities regulation, Short-termism SEC Guidance on Auditor Independence Posted by Charles F. [read post]
24 May 2019, 5:37 am
According to the independent auditor’s report contained in the company’s most-recent 10k filing: “[Riot Blockchain] has a significant working capital deficiency, has incurred significant losses, and needs to raise additional funds to meet its obligations and sustain its operations. [read post]
22 May 2019, 9:02 am
FINRA even awarded $276K to one investor in an arbitration claim against Quest Capital Strategies for its allegedly inadequate supervision of broker Frank Dietrich, who sold the unregistered securities to the customer. [read post]
22 May 2019, 3:56 am
They then fund their digital wallets with tokens typically issued by the cryptocurrency platform, and use those cryptocurrency platform tokens to buy the fundraising company’s tokens. [read post]
21 May 2019, 7:28 pm
Cantor Fitzgerald and BTIG, LLC acted as capital markets and financial advisors to Pivotal. [read post]
21 May 2019, 2:00 pm
Winfield Capital Partners and Winfield Capital GP Winfield Capital Partners is an investment fund managed by Winfield Capital GP LLC. [read post]
21 May 2019, 12:45 pm
Experts included Russell Bryan, Managing Director of Bailey Southwell, Aly Champsi, Managing Director of DW Healthcare Partners, Cary Gibson, Vice President of Farragut Square Group, LLC, Matthew Pettit, Partner of Seven Hills Capital and Mike Healy, Partner at Healy Capital Partners. [read post]
21 May 2019, 7:30 am
Castleberry Financial Services Group LLC, managed by T. [read post]
