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2 Nov 2018, 3:00 pm
.'s (hereinafter "TSI") statement of interest, D.I. 89; petitioner's objections, D.I. 90; objections filed by OWS ABS Fund II, L.P., OWS COF I Master, L.P., OWS Credit Opportunity I, LLC, One William Street Capital Master Fund, Ltd., Waterfall Asset Management, LLC., D.I. 91; Declaration of Andrew D. [read post]
1 Nov 2018, 8:04 am
The letter also requested documents and information related to investments in 1 Global Capital LLC. [read post]
31 Oct 2018, 2:20 pm
Sheikh, Venable LLP, ro hac vice.Waterfall Eden Master Fund, Ltd., Intervenor, represented by Andrew Dieter Cordo, Ashby & Geddes, Michael Hanin, Kasowitz Benson Torres LLP, pro hac vice & Uri Itkin, Kasowitz Benson Torres LLP, pro hac vice.Waterfall Delta Offshore Master Fund, LP, Waterfall Sandstone Fund, LP., Baldr Sherwood Fund, Inc., One William Street Capital Master Fund, Ltd., OWS ABS Master Fund II, L.P., OWS COF I… [read post]
31 Oct 2018, 11:21 am
Sellers, 17-1382, a capital case involving ineffective-assistance claims and allegations of diminished mental capacity and dementia. [read post]
26 Oct 2018, 12:44 pm
The Orders allege that AEGON USA Investment Management LLC, Transamerica Asset Management, Inc., Transamerica Capital, Inc., and Transamerica Financial Advisors, Inc., marketed various products and investment strategies that used a “proprietary quant model” while failing to verify whether the models functioned as intended and without disclosing known risks connected with the models. [read post]
24 Oct 2018, 4:33 pm
John Reed Stark Most readers are undoubtedly familiar with the concept of “insider trading” – that is, the purchase or sale by company insiders of their personal holdings in company shares based on material non-public information. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: Broker-dealers, Capital requirements, CFTC, SEC, Securities regulation, Swaps, Swaps entities The CEO Pay Ratio: Data and Perspectives from the 2018 Proxy Season Posted by Deb Lifshey, Pearl Meyer & Partners, LLC., on Sunday, October 14, 2018 Tags: Compensation disclosure, Compensation ratios, Disclosure, Dodd-Frank Act, Executive… [read post]
18 Oct 2018, 7:04 am
(relisted after the September 24, October 5 and October 12 conferences) PDR Network, LLC v. [read post]
15 Oct 2018, 7:12 am
” – Reginald Ringgold The SEC won’t approve Bitcoin ETFs, so Blockvest is creating a token as a fund. [read post]
15 Oct 2018, 7:05 am
Murphy (No. 17-1107): The issue in this capital case is whether the 1866 territorial boundaries of the Creek Nation within the former Indian Territory of eastern Oklahoma constitute an Indian Reservation under 18 U.S.C. [read post]
12 Oct 2018, 11:12 am
Hitt is accused of securities fraud involving his asset management firm Kiddar Capital, LLC. [read post]
10 Oct 2018, 11:28 am
New Relists PDR Network, LLC v. [read post]
9 Oct 2018, 2:18 pm
Some funds invest across a broad spectrum of assets, including hedge funds, private equity funds, venture capital funds, and real estate funds. [read post]
6 Oct 2018, 10:08 am
From December 2006 until August 2017 Michna was associated with Questar Capital Corporation. [read post]
3 Oct 2018, 9:27 am
On August 28, 2018, the Securities and Exchange Commission announced charges against 1 Global Capital LLC (“1st Global Capital”) and its former chief executive officer for allegedly defrauding at least 3,400 retail investors, more than one-third of whom invested their retirement funds. [read post]
2 Oct 2018, 8:14 am
Securities Investigation – Ironwood Institutional Multi-Strategy Fund LLC Are you concerned about your investment in Ironwood Institutional Multi-Strategy Fund LLC? [read post]
1 Oct 2018, 1:04 pm
The regulator is charging All In Publishing, LLC, Berry Media Works, LLC, and 10 individuals. [read post]
30 Sep 2018, 5:16 pm
On August 7th, 2018, Musk tweeted a nine-word message that he was “taking Tesla private at $420” and noted cryptically and confidently, “funding secured. [read post]
27 Sep 2018, 7:10 am
Mader Capital, Inc., 915 F. [read post]
25 Sep 2018, 12:32 pm
According to a recent tender offer, MacKenzie Realty Capital, Inc. will purchase share of KBS REIT II for just $3.53 per share. [read post]
