Search for: "Capital Management Securities"
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23 Feb 2009, 2:17 pm
On February 20, the Commission settled administrative charges against Diamondback Capital Management, LLC. [read post]
16 Sep 2017, 8:29 am
According to the SEC, From 2007 to 2016, Murakami and Chiat defrauded more than 50 investors in three hedge funds run through their investment advisory businesses, MC2 Capital Management, LLC and MC2 Canada Capital Management, LLC. [read post]
21 Oct 2019, 8:10 am
Kalos Capital investigation into non-traded REIT and private placements The securities attorneys at The Law Office of David Liebrader have opened an investigation into the private placement activity of Kalos Capital, an Alpharetta, Georgia based broker dealer with offices in Las Vegas, Nevada. [read post]
13 Apr 2020, 8:28 am
The Company sponsors real estate investment vehicles and managing institutional capital. [read post]
5 Aug 2020, 6:09 am
Chicago-based securities law firm Stoltmann Law Offices continues to represent investors in FINRA arbitrations nationwide recovering losses suffered in the GPB Capital Holdings group of funds, including the GPB Automotive Fund, GPB Holdings Fund II, and the GPB/Armada Waste Management Fund. [read post]
28 Jun 2018, 1:52 pm
Yousuf Saljooki (CRD #5045123, a/k/a “Joe Saljooki”) is a former registered broker with Worden Capital Management LLC (CRD #148366) of Melville, NY. [read post]
2 Jun 2020, 9:42 am
State Securities Regulator Claims GPB Capital Defrauded 180 Local Investors Massachusetts Secretary of the Commonwealth, William Galvin, has filed a civil fraud lawsuit against GPB Capital Holdings accusing it of defrauding 180 local investors who purchased more than $14M of private placements in five of the GPB funds. [read post]
8 Feb 2021, 7:10 am
The post GPB-Selling Arete Wealth Management Ordered To Pay Investor $515k In FINRA Arbitration appeared first on Securities Arbitration Lawyers Blog. [read post]
8 Feb 2021, 6:12 am
Securities and Exchange Commission (SEC), the U.S. [read post]
26 Mar 2019, 12:48 pm
The Walker & Dunlop team was led by managing directors Telly Fathaly and Elliot Howell, who advised the property developer, Middleburg. ... [read post]
16 Nov 2004, 1:31 pm
Capital Guardian Trust Co. will tender its 10% stake to Oracle while Private Capital Management LP will not vote its 9.3% stake because PeopleSoft may be worth more. [read post]
12 Jan 2021, 9:41 am
Malley and his company MG Capital Management L.P. with defrauding retail investors in two real estate funds managed by MG Capital. [read post]
14 Mar 2022, 12:09 pm
Brokerage Firms Sold Infinity Q Diversified Alpha Fund and Volatility Alpha Fund to Investors The US Securities and Exchange Commission (SEC) has filed civil charges against James Velissaris, the founder and ex-chief investment officer of Infinity Q Capital Management. [read post]
14 Oct 2021, 10:23 am
Gentile, ex-managing partner Jeffrey Lash, and Ascendant Capital owner Jeffry Schneider are accused of operating an over $1.7B Ponzi scheme that defrauded more than 17,000 investors. [read post]
8 Sep 2022, 6:39 am
For example, the SEC’s Cease-and-Desist Order entered against Aegis Capital states: Aegis Capital’s Managing Director in Boca Raton made “at least 1,000” unauthorized trades involving VRSPs in customers’ non-discretionary brokerage accounts between September 2015 and May 2019. [read post]
6 Nov 2007, 8:44 am
Stuckey is no newcomer to helping Citi out of a jam: In 1998, he helped pull the bank out of Long-Term Capital Management. [read post]
6 Feb 2019, 2:17 pm
FINRA Panel Orders Capital Securities to Pay Retired Teachers $2.38M A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded retired schoolteachers Beryl Lakin and Janice Patin $2.38M for losses they sustained while they were clients of Capitol Securities Management, which is based in Virginia. [read post]
13 Mar 2019, 10:16 am
GPB Capital’s director of waste strategy is a former president and COO of Waste Management named Rod Proto, who was fired from the company in 1999. [read post]
1 Nov 2019, 7:30 am
GPB Capital Holding’s Chief Compliance Officer and Managing Director, former Securities and Exchange Commission (SEC) examiner Michael S. [read post]
26 Apr 2022, 8:22 am
appeared first on Securities Arbitration Lawyers Blog. [read post]
