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10 Dec 2019, 10:53 am
Kubiak is formerly registered with member firm Kalos Capital, Inc. [read post]
17 Jun 2011, 1:08 am
In Janus Capital Group, Inc. and Janus Capital Management LLC v. [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]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
4 Jun 2019, 7:56 am
According to our investigation Kalos Capital, Inc. [read post]
1 Apr 2022, 12:16 pm
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
15 Mar 2021, 8:56 am
The offering listed Oppenheimer & Co. as the sold book-running manager, with Roth Capital Partners and Laidlaw & Company (UK) Ltd. as co-managers. [read post]
26 May 2009, 11:59 am
mod=googlenews_wsjBy CHAD BRAY NEW YORK -- Two executives at FTC Capital Markets Inc. in New York have been charged in an alleged scheme to defraud institutional investors by misrepresenting the types of securities in which they were investing. [read post]
4 Mar 2014, 2:35 am
("Global"), WJS Funding, Inc., d/b/a Capital Asset Management ("WJS Capital"), and Certified, Inc., d/b/a Certified Clearing ("Certified"). [read post]
19 Feb 2011, 8:16 am
Editor’s Note: The following post comes to us from Citi Fund Services, Inc., and is a summary of an article that first appeared in the Investment Lawyer, which is available here. [read post]
4 May 2020, 7:18 am
Bad News for Investors in Watermark Lodging Trust (fka Carey Watermark Investors) Are you concerned about your investment in Watermark Lodging Trust, Inc. [read post]
4 Apr 2011, 9:02 am
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
1 Sep 2021, 8:10 am
Alexander Capital L.P. was the co-manager for the offering. [read post]
20 Jun 2007, 6:23 am
Also named in the lawsuit as defendants are consulting firm IMA Equities and the owners of JD Realty & Management, Inc., siblings Joshua and Jessica Doucette, a 20-year old college …Read More... [read post]
20 Jun 2008, 3:33 pm
., 55, Irving, Texas, President of Prestige Capital Corporation, which did business as Farrington Mortgage Group, Farco Construction, Inc., and EFC Investments, LLC, which also did business as EFC Management Company. [read post]
10 Jul 2013, 6:21 am
Plaintiffs, former common stockholders of Bloodhound, alleged that in the Series D and Series E capital raises, the venture capital firms investing in the Company used their control over the Company’s board of directors to approve financings that unfairly diluted the common stock, undervalued the Company, and improperly benefitted the venture capital firms and management. [read post]
25 Jun 2019, 11:22 am
On June 27, 2018, investment manager Spruce Point Capital Management issued a report that recommended a “strong sell” opinion on Momo’s shares because of potential compliance issues. [read post]
26 Nov 2019, 7:36 am
If you are concerned about investments you made with American Realty Capital or Vereit, Inc. the securities attorneys at The White Law Group may be able to help you. [read post]
6 Apr 2020, 10:16 am
The mortgage REIT, advised by an affiliate of Inland Real Estate Investment Corporation and sub-advised by an affiliate of Sound Point Capital Management LP., originated $65.4 million in floating-rate first mortgage loans during the first quarter of 2019. [read post]
8 Jul 2009, 4:09 pm
The PPIP fund managers announced today are: AllianceBernstein, LP and its sub-advisors Greenfield Partners, LLC and Rialto Capital Management, LLC; Angelo, Gordon & Co., L.P. and GE Capital Real Estate; BlackRock, Inc.; Invesco Ltd.; Marathon Asset Management, L.P.; Oaktree Capital Management, L.P.; RLJ Western Asset Management, LP.; The TCW Group, Inc.; and … [read post]
