Search for: "Asset Funding Group Investments Fund 2, LLC"
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23 Jun 2019, 7:34 am
Month Chart #2: 2015-2019 Merger, Acquisition, or Investment Events vs. [read post]
22 Mar 2019, 9:52 am
Month Chart #2: Merger, Acquisition, or Investment Events vs. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
20 May 2008, 10:13 pm
With respect to the statement on annuity liquidity, I'm sure the "cash now pushers" and their funders would disagree, particularly "scratch off" factoring company Patriot Settlement Resources Structured settlements may be funded with two types of "qualified funding assets". [read post]
11 May 2017, 7:36 am
According to the SEC’s order, Barclays violated Sections 206(2), 206(4) and 207 of the Investment Advisers Act of 1940 and Rule 206(4)-7 as well as Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1933. [read post]
12 Jun 2023, 2:08 pm
The senior customers reportedly directed Smith to use the checks to fund their mutual fund investments. [read post]
20 Sep 2018, 6:02 am
13 in federal district court in Maryland, charges Merrill, Ledford, and Jezierski, along with their entities, Global Credit Recovery, LLC, Delmarva Capital, LLC, Rhino Capital Holdings, LLC, Rhino Capital Group, LLC, DeVille Asset Management LTD, and Riverwalk Financial Corporation, with violations of the antifraud provisions of the federal securities laws.Common Signs of a Ponzi SchemeOnce you're inside a Ponzi Scheme, it… [read post]
22 May 2012, 1:37 pm
Appropriate management of retirement and other employee benefit plan assets is a key obiligation of employee benefit plan investment advisors and other fiduciaries that have authority over plan assets. [read post]
16 Apr 2010, 8:21 am
The SEC’s press release distills the alleged wrongdoing to its essence: “The SEC alleges that Quadrangle Group LLC and Quadrangle GP Investors II, L.P. secured a $100 million investment from the New York State Common Retirement Fund. [read post]
2 Oct 2014, 3:44 pm
The ICA generally applies to every public or private company which invests over 40% of its assets in securities of one or more other companies, except securities of its own wholly owned subsidiaries. [read post]
31 Jan 2014, 5:20 am
He highlighted a case his group brought under Rule 38a-1(c) of the 1940 Investment Company Act. [read post]
10 Jul 2017, 6:52 am
Broidy (“Broidy”) and his investment advisory firm, Broidy Wealth Advisors, LLC (“BWA”). [read post]
9 Dec 2015, 6:21 am
The SEC alleged that Arford defrauded the Fund and its investors in at least four ways by: 1) inducing the Fund to commit a total of $4 million to an investment in a company, referred to as Suburban Hotel, that was purportedly planning to build and operate a hotel on undeveloped land in Seattle by misrepresenting and concealing material facts about the company’s debt and the encumbrances; 2) after obtaining the Fund’s investment… [read post]
2 Feb 2023, 10:55 am
It could be an option strategy, could be a hedge fund, and he pitches it as a low risk investment. [read post]
20 Jul 2021, 7:42 am
Designed to spur investment into Ohio businesses, a VCOC will qualify for certification if it has at least $50M in active assets and 2/3 of its general / managing partners are Ohio residents. [read post]
22 Sep 2015, 8:01 am
Madoff Investments Securities LLC’s day-to-day affairs, and that the complaint failed to plead a primary violation of the securities laws (Dusek v. [read post]
10 Jul 2018, 3:57 am
Currently, Szczepanik serves as the Head of the SEC’s Distributed Ledger Technology Working Group, Co-Head of the Dark Web Working Group, and a member of the FinTech Working Group. [read post]
30 Jul 2010, 8:13 am
The State of Washington settled a lawsuit it filed against The Preservation Group, LLC, of Chandler, Arizona, Kevin D. [read post]
22 Jan 2021, 11:43 am
His previous employers include American Asset Advisory, LLC (CRD#:168444), Accelerated Capital Group (CRD#:41270, expelled by FINRA on 11/26/2019) and Longview Financial Group, Inc. [read post]
2 Dec 2020, 7:03 am
Your typical stock or mutual fund offers 1%-2% commission. [read post]
