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4 Dec 2023, 4:58 am
Over the following year Flor continued discussions with Johnston and other principals of GF including its President and Chairman of the Board, Esmail Ghadran. [read post]
1 Apr 2010, 8:17 pm
Please email us if you would like us to add your event to this list. **** April 7-8 Sponsor: WBR Event: TradeTech Derivatives USA Location: New York, NY April 8 Sponsor: NYSSA Event: Alternative Analysts’ Forum Location: New York, NY April 8-9 Sponsor: Standard Board Event: The World Private Equity Congress 2010 Location: Hong Kong April 9 Sponsor: Practising Law Institute Event: Hedge Fund Registration and Compliance 2010 Location: New York, NY April 13 Sponsor: The… [read post]
18 Feb 2010, 2:56 pm
The two were fined $750,000 in December by the Financial Industry Regulatory Authority (FINRA) for making misleading statements and, in some instances, omitting facts in connection to sales of two private placement deals: Cornerstone Industrial Properties LLC and CIP Leveraged Fund Advisors LLC. [read post]
26 Feb 2012, 11:40 am
The National Futures Association has put out an emergency enforcement action against J Hansen Investments LLC and Jonathan Hansen, who is the financial firm’s principal. [read post]
7 Dec 2010, 6:42 am
One lawsuit was filed against Principal Reduction Group, LLC, of Scottsdale, and its owner, Brian Cutright. [read post]
5 Nov 2015, 9:51 am
Disclose to the Fund or its investors the creation of the affiliated entity Fenway Consulting Partners, LLC (“Fenway Consulting”). [read post]
21 Oct 2019, 12:14 am
A corporation is deemed a citizen of its state of formation and its principal place of business. [read post]
3 Oct 2022, 6:00 am
BET FRX LLC v. [read post]
28 Dec 2021, 2:49 pm
The CFPB recently announced the terms of a stipulated judgment and order in its lawsuit filed in November 2016 against (1) Access Funding, LLC (Access), a limited liability company that purchases structured settlements from consumers and two related companies (Access); (3) three individual principals of Access; and (4) an attorney who purported to provide advisory services to consumers who sold structured settlements to Access. [read post]
29 Jun 2015, 6:53 am
In particular, Patent Owner asserts that the stated mandates will further explain a principal purpose of the funds, which is to take short stock positions against pharmaceutical companies. [read post]
4 Jun 2013, 7:48 am
FINRA ordered Wells Fargo Advisors, LLC, as successor for Wells Fargo Investments, LLC, to pay a fine of $1.25 million and to reimburse approximately $2 million in losses to 239 customers. [read post]
18 Jan 2021, 2:11 am
The Lower Court Lets Stand Farro’s Rescission Claim The defendants moved to dismiss Farro’s amended complaint, arguing principally that Farro’s fraud-based rescission claim was barred by LLC Law § 1005 (g); that his exclusive remedy was an appraisal proceeding; that Farro failed to state a valid fraud claim in any event; and that as a former member of LMEG Farro lacked standing to assert derivative claims. [read post]
26 Oct 2009, 7:27 am
Mico Petro & Heating Oil, LLC, 979 A.2d 854, 2009 PA Super 105 (Pa. [read post]
26 Sep 2012, 7:34 pm
Per court documents, between April 2005 and November 2006, the two men, along with two co-conspirators, were partners in KMFG International LLC, which is a hedge fund. [read post]
14 Sep 2011, 3:48 pm
The promissory notes contained promises by BSK to repay the investors principal plus interest. [read post]
1 Jul 2019, 1:24 pm
LaGuardia, Jr. a Lavallette, New Jersey resident, allegedly controlled the investment adviser, L-R Managers, LLC, and allegedly misappropriated investor money from private funds advised by L-R Managers and from subscriptions intended to be invested in one of the funds, according to an SEC Report under review by investor rights attorney Alan Rosca. [read post]
17 Jun 2015, 7:34 am
According to reports, the principals in Cabot, Carlton P. [read post]
24 Apr 2009, 6:45 am
Gradante and ordered them to pay, jointly and severally, over $800,000 for violating Section 206(2) of the Investment Advisors Act of 1940 (the "Act") and their fiduciary duties owed to clients who relied on their services and recommendations in investing in a group of fraudulent hedge fund known as Bayou Superfund, LLC; Bayou Accredited Fund, LLC; Bayou Affiliates Fund, LLC; and Bayou No Leverage Fund, LLC; all… [read post]
26 Mar 2021, 11:03 am
Holtz improperly funneled funds . . . to another one of their companies, Seeman Holtz Property & Casualty Insurance, LLC (“SHPCI”), and/or comingled the PL Entities’ funds with funds owned by SHPCI. [read post]
23 Aug 2011, 12:30 pm
Elsworth forex firms frozen under court orderThe CFTC announced that it has won a court order to freeze the assets of Douglas Elsworth Wilson and his three companies, Elsworth Berg Capital Management LLC, Elsworth Berg Inc., and Elsworth Berg FX LLC. [read post]
