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15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
18 Mar 2021, 8:09 am
Accordingly, Piwowar believes that the SEC should revisit the accredited investor definition and engage in rulemaking to open up private investment opportunities to all Americans. [read post]
21 Mar 2011, 12:34 pm
These problems made SPACs unattractive buyers compared to private equity funds and strategic investors, who could complete deals more quickly and more assuredly than SPACs. [read post]
11 Feb 2019, 8:50 pm
Sarah Bradley, plaintiff and co-founder in this situation, enjoys a superstar, 20-year reputation as an investment banker and then as a private equity deal-maker. [read post]
7 Jun 2024, 1:18 pm
The charges stem from their alleged involvement in recommending investments in Horizon Private Equity, III, LLC (Horizon), a Ponzi scheme purportedly operated by John J. [read post]
24 Apr 2018, 12:15 pm
According to his FINRA BrokerCheck report, Rideaux was registered with NMS Capital Advisors in Beverly Hills, CA from August 2016 through May 2017. [read post]
25 Jan 2016, 8:55 am
” He stated that Fort Myers has recently issued permits for private development that will result in $450 million invested into the downtown area. [read post]
15 Dec 2023, 11:00 am
It’s difficult to state with any certainty how compliance issues led to some of the events, particularly without having access to the LLC Operating Agreement (which is a private document). [read post]
3 Jul 2020, 6:09 am
Chia, Soundboard Governance LLC, on Thursday, July 2, 2020 Tags: Boards of Directors, Engagement, Institutional Investors, Shareholder meetings, Shareholder voting, Virtual meetings Some Thoughts for Boards of Directors in 2020: A Mid-Year Update Posted by Martin Lipton, Steven A. [read post]
2 Jun 2010, 5:23 pm
. **** June 1 Sponsor: WBR (World Business Research) Event: TradeTech India 2010 Location: Mumbai, India June 1 Sponsor: Infovest 21 Event: Preparing for Impending Regulatory Changes Location: New York, New York June 2 Sponsor: FTF (Financial Technologies Forum, LLC) Event: Understanding Portfolio Management & Trading Location: New York, New York June 2 Sponsor: HedgeWorld Event: CTA 2010: Managed Futures and Commodities Investing presented by HedgeWorld Location:… [read post]
22 Dec 2018, 8:23 am
Kelley is accused of promising that he would invest investor funds in a variety of investment products including private placements and real estate funds. [read post]
25 Feb 2010, 6:31 am
Reinhardt operates three businesses: First Fidelity Financial of Richmond LLC, Commonwealth Assurity LLC and Capital Investor Group. [read post]
3 Jan 2012, 9:21 pm
F-Squared is a privately held SEC registered investment advisory firm providing investment advisory and portfolio management services for financial professionals, wealth managers, and institutional investors. [read post]
8 Feb 2019, 6:04 am
Fried (Harvard Law School) and Matthew Schoenfeld (Burford Capital), on Monday, February 4, 2019 Tags: Cayman Islands, China, Controlling shareholders, Cross-border transactions, Fairness review, Foreign firms, Going private, International governance, Investor protection, IPOs, Minority shareholders, Tech companies, Unicorns Internal Forecasts and M&A Posted by Paul M. [read post]
19 Jan 2022, 12:19 pm
DXS Capital (U.S.) [read post]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
19 Aug 2010, 11:16 am
Generally the rule of thumb is that if you have partners investing in the venture, then you should always stay away from general partnerships and go for an LLC or LLP. [read post]
20 May 2019, 3:24 am
IDS attracted tens of millions of private equity dollars to fund drug development and the long and taxing drug-approval process. [read post]
11 Nov 2022, 12:39 pm
From at least February 2017 through February 2021, the mutual fund’s reported NAVs were allegedly materially and falsely inflated due to a mismarking scheme conducted by the Chief Investment Officer (CIO) of Infinity Q Capital Management, LLC, the investment adviser to the mutual fund, according to the complaint. [read post]
17 Jan 2020, 4:50 pm
After the sale, Ethos Capital, having paid $1.135 billion for .ORG to ISOC, will have to recoup that investment on a scale that’s expected of a private equity firm. [read post]
