Search for: "Capital Funding, LLC "
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1 Jan 2021, 6:14 am
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 3-Jun-19Onna… [read post]
29 Mar 2021, 2:17 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
24 Apr 2023, 6:28 am
’ Further, the CFPB sued Encore Capital Group, Inc.; its subsidiaries, Midland Funding, LLC; Midland Credit Management, Inc.; and Asset Acceptance Capital Corp for violating a consent order from a 2015 judgment. [read post]
20 Jan 2017, 1:04 pm
Olson, hold that thin capitalization is not necessarily indicative of fraudulent intent. [read post]
30 Nov 2021, 8:01 am
Alphonse Stazzone (Alphonse Joseph Stazzone CRD:#4908107) is a previously registered broker and whose last known employer was Monmouth Capital Management LLC (CRD#:290248) of Holmdel, New Jersey. [read post]
1 Nov 2023, 12:38 pm
Short-Term Trading of Mutual Funds Mutual fund switching or short-term mutual fund trading by a broker can be detrimental to their clients for several reasons: Frequent switching or trading in and out of mutual funds can lead to higher transaction costs, such as sales charges, redemption fees, and capital gains taxes. [read post]
18 Aug 2016, 1:26 pm
The Regents entered into the Project Agreement with Plenary Properties Merced LLC (PPM) for a 39-year contract term. [read post]
11 Feb 2019, 8:50 pm
… Sarah Bradley, co-founder of a private equity fund called Kainos Capital, LLC, claimed in Delaware Chancery Court two weeks ago that two of her fellow co-founders, aided by the fund’s chief financial officer, cheated her out of her ownership stake and management role in the fund. [read post]
23 Jun 2017, 3:17 pm
Breton, the founder of Strategic Capital Management, admitted to keeping profitable trades for himself while making unprofitable ones for customers. [read post]
19 Jan 2024, 7:37 am
(CRD#:18456), Wauwatosa, WI, B, 06/12/2014 – 12/23/2019, QUEST CAPITAL STRATEGIES, INC. [read post]
24 May 2022, 5:00 am
The BNYMIA action is the third SEC action this year identified by the Climate and ESG Task Force as an enforcement action related to ESG issues or statements.In the Matter of Wahed Invest LLC. [read post]
28 Feb 2023, 12:15 am
LLC v. [read post]
17 Jul 2020, 5:51 am
Capital Markets to Promote Economic Growth Posted by Hal S. [read post]
11 Mar 2024, 7:14 am
FINRA BrokerCheck Report – Jay Pocius According to his FINRA BrokerCheck report, Jay Pocius was affiliated with the following five firms during his eleven-year career in the securities industry: 05/19/2023 – 03/08/2024, GREAT POINT CAPITAL LLC (CRD#:114203), CHICAGO, IL, B, 08/29/2019 – 06/08/2023, WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025), ARLINGTON HEIGHTS, ILB, 06/11/2013 – 09/05/2019, PNC… [read post]
30 Jan 2019, 8:00 am
Zamansky LLC also represents investors in arbitration cases against UBS and other brokerage firms regarding Puerto Rico bonds and UBS closed end bond funds and other investments. https://www.puertoricobondfundsattorney.com/en/ The post The Leveraged Loan Ticking Time Bomb appeared first on Zamansky LLC. [read post]
30 Jun 2020, 2:27 pm
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000… [read post]
1 Oct 2020, 3:37 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000… [read post]
4 Jul 2011, 12:06 pm
A federal judge has frozen Gomez’s assets and prohibited the destruction of all books and records.Giddens and Dutton operated Currency Management Group LLC and Pinnacle Capital Partners LLC, respectively. [read post]
23 May 2014, 5:05 am
Hampton allegedly used the space to operate a private hedge fund, Hampton Capital Management (HCM). [read post]
16 Nov 2009, 3:40 am
But now, we have Mooring Capital Fund, LLC v. [read post]
