Search for: "First Financial Investment Fund II, LLC" Results 141 - 160 of 241
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9 Oct 2023, 2:34 pm by Kevin LaCroix
This article is co-authored by Sarah Abrams, Head of Professional Liability Claims, Bowhead Specialty Underwriters, Inc., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
20 Jun 2014, 6:00 am by Adam Weinstein
The SEC alleged that Valente and his firm, The ELIV Group LLC, fraudulently raised more than $8.8 million from approximately 80 clients by falsely claiming outsized positive returns and safe investments. [read post]
28 Oct 2019, 3:43 am by Franklin C. McRoberts
” But LLC Law 420 prohibits any indemnification if there is a “judgment” or “final adjudication” against the party seeking indemnification of i) “bad faith,” ii) “active and deliberate dishonesty,” or iii) receipt of a “financial profit or other advantage to which [the manager or member] was not legally entitled. [read post]
26 Oct 2022, 4:26 am by CMS
BTI 2014 LLC (“BTI”) was the assignee of AWA’s claims. [read post]
12 Mar 2009, 2:15 am
  Although the allegations brought against Perrigo as an auction rate securities investor may seem unusual, the Perrigo complaint is actually not the first to assert securities fraud in connection with a company’s disclosures concerning its investment in auction rate securities. [read post]
28 Jan 2009, 9:40 am
Madoff Investment Securities, LLC ("Madoff Securities"). [read post]
19 Oct 2020, 3:00 am by John Jenkins
I’ll give you three guesses how the SEC’s vote on this went down – and the first two don’t count. [read post]
11 Dec 2023, 1:18 pm by Holly
  Entities subject to significant U.S. government regulation, specifically securities reporting issuers; governmental authorities; banks, credit unions, bank holding companies, and money service businesses; securities brokers/dealers, securities exchanges/clearing agencies, other entities registered under the Securities Exchange Act of 1934, investment companies and investment advisors, venture capital fund advisers, and insurance companies as defined under the… [read post]
3 Oct 2022, 4:25 am by Peter J. Sluka
Chertok and Shatz agreed that Vast Six would make the investment, and Shatz wired Vast Six his portion of the funds needed. [read post]
20 Apr 2023, 1:20 pm by Marcia Delgadillo
The New York Department of Financial Services (“ [read post]
20 May 2019, 3:24 am by Peter Mahler
IDS attracted tens of millions of private equity dollars to fund drug development and the long and taxing drug-approval process. [read post]
   RWE will then have 10 business days from receipt of the lease copies to (i) sign and return them to BOEM, (ii) post financial assurance, and (iii) pay any outstanding balance of its bonus bid. [read post]
15 Feb 2022, 2:05 pm by Kevin LaCroix
[iv] Plaintiffs alleged the SPAC’s management team, including multiple Riverstone partners, made misleading, overly optimistic financial projections in its pre-merger proxy statement, which were then dramatically reduced in Alta Mesa’s first 10-K filed post-merger. [read post]
20 Oct 2023, 2:40 pm by CFM Admin
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
6 Nov 2018, 11:51 am by Samuel Cohen
Financial Intermediation” is the combination of raising funds (either in Argentina or in other jurisdictions). [read post]
29 Mar 2023, 12:50 am by D. Daxton White
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]