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21 Oct 2014, 6:03 am
LPL Financial was alleged to have deficient supervision in the sale of certain alternative investment products, including REITs, oil and gas partnerships, business development companies (BDC’s), hedge funds, and managed futures. [read post]
30 Apr 2025, 7:30 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
20 May 2016, 6:45 am
Klingsberg, Cleary Gottlieb Steen & Hamilton LLP, on Wednesday, May 18, 2016 Tags: Advanced notice, Antitrust, Beneficial owners, Disclosure, DOJ, Hart-Scott-Rodino Act, Hedge funds, Mergers & acquisitions, Schedule 13D, Schedule 13G, SEC, Securities enforcement, Securities regulation, Shareholder activism The Post Dodd-Frank Evolution of the Private Fund Industry Posted by Wulf Kaal, University of St. [read post]
16 Oct 2007, 11:47 am
The WSJ explains: "Initially, CDOs and other mortgage-backed securities were almost solely in the purview of investment banks and hedge funds. [read post]
11 May 2018, 7:22 am
But Miller’s supposed investment fund did not exist. [read post]
5 Jun 2012, 8:14 am
Coblin was charged by information in September 2011 and pled guilty on March 8, 2012 to engaging in a scheme to pay kickbacks to a hedge fund fiduciary to induce the fiduciary to misappropriate money from a hedge fund in order to buy restricted common stock at inflated prices. [read post]
5 Jun 2012, 8:14 am
Coblin was charged by information in September 2011 and pled guilty on March 8, 2012 to engaging in a scheme to pay kickbacks to a hedge fund fiduciary to induce the fiduciary to misappropriate money from a hedge fund in order to buy restricted common stock at inflated prices. [read post]
14 Dec 2006, 12:09 am
., attorney Greg Siskind has set his sights on the world market with a global alliance of immigration lawyers. [read post]
21 Jun 2023, 7:41 am
’s Google, and hedge fund giant Citadel as clients. [read post]
21 Jun 2023, 7:41 am
’s Google, and hedge fund giant Citadel as clients. [read post]
21 Aug 2020, 6:06 am
– (3) Disregard of Legal Constraints Posted by Lucian Bebchuk and Roberto Tallarita (Harvard Law School), on Wednesday, August 19, 2020 Tags: Accountability, Boards of Directors, Business Roundtable, Corporate purpose, Corporate Social Responsibility, Program on Corporate Governance, Reputation, Shareholder value, Stakeholders Chancery Court Rules That Pre-Closing Attorney Client Privilege Over Deal Related Communications Stays… [read post]
6 Jan 2008, 8:11 pm
Bear Stearns has received dozens over the collapse of two leveraged hedge funds. [read post]
5 Aug 2010, 3:49 pm
MAT/ASTA was a series of leveraged municipal arbitrage hedge funds offered by Citigroup Fixed Income Alternatives and sold through Smith Barney and Citigroup Private Bankers. [read post]
17 Mar 2008, 8:19 pm
BSC's most recent CEO is/was "Jimmy" Cayne, who allegedly was playing bridge at his country club as the firm's largest hedge fund imploded last summer. [read post]
2 May 2009, 8:28 am
• The Securities and Exchange Commission wants the authority to regulate hedge funds according to SEC Chairwoman Mary Shapiro. [read post]
7 Nov 2024, 2:30 pm
Adele highlighted new amendments to Form PF that require additional reporting requirements for Large Hedge Funds. [read post]
8 Jun 2011, 6:14 am
You can try to hedge your bet by calling the customer’s bank to see if it will confirm the presence of enough funds in the account for the check to clear, but remember that your customer’s account balance may increase or decrease by the time you deposit the check. [read post]
19 Jul 2023, 11:32 am
Examples of Limited Partnership Investments Some examples of limited partnerships include real estate partnerships, oil and gas partnerships, private equity funds, and hedge funds. [read post]
9 Jun 2009, 9:56 am
Several of us were in town and able to meet with dozens of people while there, some of whom are candidates and some of whom are representatives of law firms and some private equity and hedge funds for whom we have conducted attorney searches in the past. [read post]
19 Feb 2015, 4:20 am
At least six more were filed either by her husband or her hedge fund, Greentech Research. [read post]
