Search for: "Investment Management Company LLC"
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8 Jun 2015, 8:13 am
(“Stifel”) announced that it is set to acquire Barclays’s Wealth and Investment Management, Americas business (“Barclays Wealth Management”) through a definitive purchase agreement. [read post]
12 Jan 2023, 1:16 pm
In short, members of an LLC are limited to losing only their investment in the business. [read post]
25 Aug 2021, 8:13 am
On August 20, 2021, the United States Securities and Exchange Commission (“SEC”) filed an emergency action to stop a fraudulent Ponzi scheme allegedly perpetrated by Marietta, Georgia resident John Woods and two entities he controls: registered investment adviser Livingston Group Asset Management Company, d/b/a Southport Capital (“Southport”), and investment fund Horizon Private Equity, III, LLC. [read post]
24 Nov 2020, 6:52 am
Coggins managed these “funds” through his company Coral Gables Asset Management, LLC. [read post]
23 Dec 2013, 8:49 am
Furthermore, David Cosgrove, the managing-member of Cosgrove Law Group, LLC and former securities industry regulator, has recently established the Investment Adviser Rep. [read post]
18 Aug 2011, 11:29 am
If you have suffered losses investing with Select Asset Management, Brian A. [read post]
16 Oct 2012, 2:50 am
The decision is SSR II, LLC v. [read post]
29 Jun 2020, 6:35 am
Advisor Gary Barth (Barth), currently employed by Ameritas Investment Company, LLC (Ameritas) has been subject to at least four customer complaints during the course of his career. [read post]
19 Oct 2023, 12:28 pm
Did You Invest In Nanban Ventures, LLC, Or One Of Its Subsidiaries? [read post]
19 Mar 2012, 4:00 am
The subject Funds are managed by two management companies organized as Delaware LLCs (the Onshore Manager and the Offshore Manager). [read post]
5 Jul 2022, 5:30 am
This protection shelters personal property like a home, bank account, investments, and even vehicles. [read post]
8 Mar 2011, 1:08 am
Husman) Filed by PJ Finance Company, LLC. [read post]
17 Feb 2016, 3:34 pm
A recent Court of Chancery opinion examined inspection rights under the LLC Act, in the decision of RED Capital Investment L.P. v. [read post]
27 Jan 2020, 3:58 am
Second, they argued that nothing in the operating agreement barred them from filing the Related Action against the LLC or its managing members. [read post]
7 Nov 2014, 10:14 am
Sands Brothers is a New York limited liability company that was formed in 1998, with offices in Connecticut, New York and California, and provides investment advisory services. [read post]
26 May 2023, 8:20 am
Sciens agreed to be censured and pay a $275,000 civil penalty (In the Matter of Sciens Investment Management, LLC, Release No. [read post]
26 Mar 2019, 10:07 am
This week, the Securities and Exchange Commission (SEC) charged registered investment advisor Direct Lending Investments LLC with a fraud spanning multiple years that caused an $11 million over charge of management and performance fees to its private funds https://www.sec.gov/litigation/litreleases/2019/lr24432.htm. [read post]
7 Jul 2010, 11:26 am
Irving Stitsky, the former Managing Partner of Cobalt Capital Funding, LLC, and Executive Vice President of Cobalt Real Estate Services, LLC, was sentenced to 85 years in prison, a restitution of $22,075,631 and forfeiting proceeds of $23,152.235 for fraudulently inducing over 250 investors to invest over $23 million in private placement real estate offerings in New York through several misrepresentations. [read post]
14 Jan 2022, 8:02 am
appeared first on Zamansky LLC. [read post]
10 Nov 2021, 1:14 pm
LLC, Morgan Stanley, and Allen & Company LLC were the joint book-running managers for the offering, with Needham & Company, William Blair, KeyBanc Capital Markets, Raymond James, Barrington Research, Craig-Halllum, Berenburg, and Northland Capital Markets as co-managers. [read post]
