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21 May 2019, 6:11 am by Staff Attorney
The attorneys at Gana Weinstein LLP are looking into potential actions to help investors ensnared in the 1st Global Capital LLC (1st Global Capital) investment fraud scheme. [read post]
20 May 2019, 3:24 am by Peter Mahler
IDS attracted tens of millions of private equity dollars to fund drug development and the long and taxing drug-approval process. [read post]
16 May 2019, 4:06 am by Andrew Lavoott Bluestone
Furthermore, the complaint does not contain specific allegations that would place the plaintiffs within an exception to the privity requirement (see AG Capital Funding Partners, L.P. v State St. [read post]
15 May 2019, 3:45 pm by Unknown
Wasserman, PAA’s president, with fraud and related charges in connection with making material misrepresentations and omissions in American Growth Funding II LLC (AGF II)’s private placement offering. [read post]
14 May 2019, 1:32 pm by Daily Record Staff
Tuesday, exceeding its fundraising target with more than $500 million of capital commitments, including parallel funds and co-investment vehicles, to invest in the North American power sector as the grid evolves to a more sustainable footprint. [read post]
13 May 2019, 4:00 am by Doug Cornelius
Sources: SEC Order Against Corinthian Capital Group, LLC, Peter B. [read post]
9 May 2019, 1:00 pm by Kevin LaCroix
  A few years later, however, a federal court in Colorado reached the opposite conclusion in Green Earth Wellness Ctr., LLC v. [read post]
6 May 2019, 3:17 pm by Douglas Schwartz
Working capital and other reserves are not direct- or indirect-owned assets and therefore could cause the QOF to violate the 90% test. [read post]
6 May 2019, 12:26 am by Peter Mahler
Under the LOI, Ludwig’s separate company, Promontory Financial Group, LLC (PFG), to which Ludwig later transferred his PGI membership interest, would provide working capital advances to PGI. [read post]
4 May 2019, 12:39 pm by MOTP
GIVING CREDIT WHERE CREDIT IS DUE Democrat Richard Hightower botches his first National Collegiate Student Loan Trust case after taking office as a member of Houston Court of Appeals Sheila Kirk v. [read post]
3 May 2019, 7:56 am by Amber Walsh
Utilizing Small Business Investment Company (SBIC) leverage allows small to mid-size funds to deploy capital more quickly and easily. 6. [read post]
3 May 2019, 6:38 am
Posted by Akshaya Kamalnath (Deakin Law School), on Wednesday, May 1, 2019 Tags: Agency costs, Agency model, Artificial intelligence, Board composition, Board oversight, Boards of Directors, Financial technology, Oversight The Compensation Committee Agenda for 2019 Posted by Steve Van Putten, David Bixby, and Jan Koors, Pearl Meyer & Partners, LLC., on Wednesday, May 1, 2019 Tags: Accounting, Boards of… [read post]
1 May 2019, 7:31 am by Rob Robinson
About Lightyear Capital LLC Founded in 2000, Lightyear is a financial services-focused private equity firm based in New York. [read post]
29 Apr 2019, 12:55 pm by ccollins
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
26 Apr 2019, 5:55 am
Smith (EY Center for Board Matters) and Joe Dettmann (Ernst & Young LLP), on Wednesday, April 24, 2019 Tags: Accountability, Board oversight, Boards of Directors, Corporate culture, Human capital, Management, Oversight, Stakeholders Claims Based on Warranty and Indemnity Liability (W&I) Policies Posted by Joseph A. [read post]
25 Apr 2019, 12:45 pm by ccollins
Lyons and his investment advisory businesses, Synchronicity Capital GP, LLC, Synchronicity Capital Group, and Synchronicity Group, LLC, used the money to pay for Lyons’ personal spending, including Broadway shows, concert tickets, sailing expenses, rent, and other costs. [read post]
25 Apr 2019, 11:43 am by Cari Rincker
Indicate the legal structure of your business, i.e., whether it is a corporation, partnership, LLC, or sole proprietorship. [read post]
25 Apr 2019, 9:07 am by Unknown
The Securities and Exchange Commission today announced the inaugural members of the Small Business Capital Formation Advisory Committee. [read post]
25 Apr 2019, 6:41 am
This survey of more than 5,000 retail investors—including those accessing the capital markets through pension funds or private retirement accounts—reveals that retail investors are indeed concerned about the growing influence of the proxy advisory firms and that their concerns are only magnified as they learn more about this opaque part of the proxy process. [read post]
19 Apr 2019, 12:22 pm by Renae Lloyd
The SEC alleges in its complaint that Castleberry falsely represented to investors it had hundreds of millions of dollars in capital invested in local businesses and a portfolio of hundreds of investment properties. [read post]