Search for: "Capital Management Inc."
Results 101 - 120
of 4,121
Sorted by Relevance
|
Sort by Date
13 Jun 2010, 7:33 am
The SEC announced Friday that it filed an emergency civil enforcement action to halt a fraudulent bridge loan scheme orchestrated by New York-based Chimay Capital Management, Inc. [read post]
14 Apr 2010, 12:56 am
Following up on our post from earlier regarding orders entered in the Regent Communications, Inc. bankruptcy cases confirming the proposed plan of reorganization and denying the motion of Resilient Capital Management, LLC seeking the appointment of an official committee of equity security holders, this evening Resilient filed a notice that it is appealing the order denying appointment of an equity committee. [read post]
8 Jul 2009, 2:39 pm
Following a comprehensive two-month application evaluation and selection process, during which over 100 unique applications to participate in Legacy Securities PPIP were received, Treasury has pre-qualified the following firms (in alphabetical order) to participate as fund managers in the initial round of the program: AllianceBernstein, LP and its sub-advisors Greenfield Partners, LLC and Rialto Capital Management, LLC; Angelo, Gordon & Co., L.P. and… [read post]
26 May 2009, 11:59 am
Lopez, the company's operations manager, was arrested in Miami on Tuesday. [read post]
10 Dec 2019, 10:53 am
Kubiak is formerly registered with member firm Kalos Capital, Inc. [read post]
31 Jan 2016, 9:00 am
Knoll Capital Management LP v. [read post]
4 Apr 2022, 3:56 am
Resource REIT Inc. [read post]
26 Sep 2014, 7:15 am
The SEC charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. [read post]
5 Oct 2020, 9:13 am
BMO Capital Markets and RBC Capital Markets were joint book-running managers with Wedbush PacGrow and JMP Securities acting as co-lead managers for the offering. [read post]
26 Nov 2019, 7:36 am
Vereit Inc. [read post]
22 Dec 2019, 9:17 am
According to a compliance officer with Purshe Kaplan Sterling Investments, Inc., (Purshe Kaplan) the firm continued to sell securities offered by GPB Capital Holdings (GPB Capital) after she had reported misgivings as to the entities business model and recommended that the firm not sell the product. [read post]
The SEC and Small Capital Formation: The Advisory Committee on Small and Emerging Companies (Part 1)
17 Feb 2012, 5:00 am
Jenny, CFO, BlueFly Inc., New York, N.Y. [read post]
24 May 2017, 6:50 am
Posted by Hao Liang, Singapore Management University, on Wednesday, May 24, 2017 Editor's Note: Hao Liang is Assistant Professor of Finance at Singapore Management University. [read post]
11 Mar 2008, 2:41 pm
Cerberus Capital Management LP, a private-equity firm based in New York, invested $50 million in the equity units. [read post]
20 Jun 2014, 8:00 am
Immoos Fire Protection, Inc. (2012) 53 Cal.4th 1244, 1256-1257 (discussed here). [read post]
15 Apr 2010, 3:20 pm
Following up on earlier postings, Resilient Capital Management, LLC filed an amended notice of appeal in the Regent Communications, Inc. bankruptcy case yesterday. [read post]
31 May 2024, 11:27 am
Murray Founded Trillium Capital as an investment management firm, where he serves as the Managing Partner. [read post]
13 Apr 2023, 8:03 am
Riley Wealth Management unsuitably invested its clients in the following high-risk, alternative investments: Healthcare Trust, ARC Trust V, Inc., First Capital Real Estate Trust, Inc., Hospitality Investors Trust, ARC Retail Center of America, Inc., ARC Global Trust, Inc., ARC New York City REIT, KBS Real Estate Investment Trust III, Inc. and American Finance Trust, Inc. [read post]
28 Feb 2011, 10:34 am
Vicis had invested millions of dollars in both of the companies that bought the receivables -- Medical Solutions Management Inc. [read post]
15 Nov 2021, 5:46 am
LLC, Morgan Stanley, and Allen & Company LLC were the joint book-running managers for the offering, with Needham & Company, Craig-Halllum, William Blair, KeyBanc Capital Markets, Raymond James, Barrington Research, Berenburg, and Northland Capital Markets as co-managers. [read post]
