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5 Sep 2023, 1:17 pm
The advisory firms are: Lloyd George Management (HK) Limited; Bluestone Capital Management LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; and Apex Financial Advisors Inc. [read post]
13 Mar 2013, 6:00 am
Stephens SEC Order: Ranieri Partners LLC and Donald W. [read post]
8 Mar 2019, 10:29 am
However, as one might expect with the increasing competition, the amount of capital raised by each ICO has, on average, decreased. [read post]
5 Apr 2010, 12:31 pm
The SEC brought a civil complaint against Vaughan last week, claiming that Vaughn defrauded at least 600 investors, using his companies, The Vaughan Company, Realtor's Inc., and Vaughan Capital, LLC. [read post]
29 Apr 2019, 12:55 pm
The defendants are Bank of America NA, Barclays Capital, Wells Fargo Securities, LLC, Citigroup Global Markets, Inc., BNP Paribas Securities Corp., Deutsche Bank Securities, JPMorgan Securities, HSBS Bank Plc, HSBC Securities, JP Morgan Chase Bank, TD Securities, Nomura Securities International Inc., and Merrill Lynch, Pierce, Fenner & Smith. [read post]
5 Nov 2017, 6:02 am
Midland Funding, LLC, 786 F.3d 246 (2d Cir. 2015), cert. denied, 136 S. [read post]
5 Nov 2017, 6:02 am
Midland Funding, LLC, 786 F.3d 246 (2d Cir. 2015), cert. denied, 136 S. [read post]
10 Dec 2014, 5:23 pm
ADOT will fund the project capital costs with a combination of available public funds from sales tax revenues and tax-exempt bonds. [read post]
29 Mar 2011, 10:37 am
But if capital begins to flow more freely and employment rates rise, the number of willing, financeable buyers will increase and push values up. [read post]
14 Jan 2017, 6:49 am
Subsequently, Mustaphalli filed a From D with the SEC in January 2011 for a hedge fund called Mustaphalli Capital Partners Fund, L.P. [read post]
6 Aug 2009, 12:40 pm
Furthermore, Bentzen confirms that Structured Asset Funding is her funding source (i.e. that she does not shop around) a la Settlement Quotes, LLC factoring exchange, or others. [read post]
22 Sep 2010, 9:24 am
Although JSCs are less spread than LLCs, certain types of companies can only be registered under this form like, for example, banks, insurance companies, investment funds. [read post]
7 Sep 2021, 6:41 am
Woods and his RIA represented that they would take investor funds and invest them in government bonds, stocks, and real estate projects. [read post]
20 Jun 2022, 8:18 am
According to FINRA, between May 4, 2018, and June 29, 2018, United Planners allegedly failed to tell four investors in an offering related to GPB Capital Holdings, LLC that the issuer failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
5 Sep 2012, 6:05 am
Kuo, a hedge fund manager, illegally traded on the information and passed it on to multi-billion dollar hedge fund advisory firms Diamondback Capital Management LLC and Level Global Investors LP. [read post]
20 Feb 2015, 3:11 pm
According to FINRA BrokerCheck, both men worked for Wall Street Financial Group from 10/2006 to 03/2011, before moving to the brokerage firm Mid Atlantic Capital Corporation in September 2011. [read post]
13 Dec 2016, 3:42 pm
Victoria Fram of VilCap Investments, LLC (Village Capital’s affiliated for-profit investment fund) discussed her firm’s criteria on impact investments, all in for-profit enterprises (40% of the founders are women, 20% are people of color). [read post]
21 Jul 2017, 6:04 am
Lighting Our Capital Markets Posted by Kara M. [read post]
8 Nov 2020, 8:05 am
One common way business owners put their limited liability at risk is by commingling their business funds with their personal funds. [read post]
2 Sep 2020, 2:04 pm
Prior to starting her consulting firm in 1999, she spent 14 years as a high-risk lender in the U.S. and Latin America at Citicorp and Sanwa Business Credit.Bill Elkington, Founder, Mind IC Bill’s career in three Fortune 500 companies, a startup, and now in his consulting firm—Mind IC LLC—has been in the field of intellectual capital management. [read post]
