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21 Mar 2016, 4:00 am
Bankruptcy Code.The agreement contemplates the establishment of a $480 million trust (the Trust) to be fully funded within a year of consummation of the proposed plan. [read post]
20 Mar 2016, 5:55 am
(ACM) and the manager of the Aequitas Funds is Aequitas Investment Management, LLC (AIM). [read post]
16 Mar 2016, 7:24 am
The SEC alleged that the associated persons were registered representatives for the broker-dealer that served as the underwriter for several municipal debt securities offerings for which the firm served as advisor (In the Matter of Central States Capital Markets, LLC, Mark R. [read post]
14 Mar 2016, 8:27 am
From June 2005 until September 2010, Mirhashemi was associated with Wells Fargo Investments, LLC. [read post]
11 Mar 2016, 8:35 am
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
11 Mar 2016, 6:00 am
The Securities and Exchange Commission (“SEC”) recently brought an administrative proceeding against unregistered fund manager Steven Zoernack and his firm, EquityStar Capital Management, LLC (“EquityStar”), for engaging in allegedly fraudulent conduct in violation of federal securities and investment adviser laws. [read post]
10 Mar 2016, 5:25 pm
The SEC’s complaint charges violations of the federal securities laws by Aequitas Management, Aequitas Holdings LLC, Aequitas Commercial Finance LLC, Aequitas Capital Management Inc., and Aequitas Investment Management LLC as well as Jesenik, Oliver, and Gillis. [read post]
7 Mar 2016, 9:41 am
” According to the company’s website, LinnCo is a limited liability company created to enhance LINN Energy LLC ability to raise additional equity capital to execute a growth strategy. [read post]
7 Mar 2016, 7:26 am
Remaining proceeds were used to pay related bond offering expenses and establish a reserve fund and a capitalized interest fund.The loan and, in turn, bond investors would be repaid from revenues generated by video games that 38 Studios planned to develop. [read post]
4 Mar 2016, 6:00 am
Ellerman, Pay Governance LLC, on Thursday, March 3, 2016 Tags: CD&A, Compensation committees, Compensation disclosure, Disclosure, Engagement, Equity-based compensation, Executive Compensation, Incentives, Management, Proxy disclosure, Proxy season, Proxy voting [read post]
2 Mar 2016, 12:00 pm
Goyal admitted to providing Diamondback Capital Management LLC, where Todd Newman and Anthony Chiasson (defendants in Newman) were portfolio managers, with insider information from Dell employee Rob Ray. [read post]
29 Feb 2016, 4:43 pm
Laborers District Council Construction Industry Pension Fund, 135 S.Ct. 1318 (2015). [read post]
26 Feb 2016, 6:06 am
Atmeh, CamberView Partners, LLC, on Friday, February 19, 2016 Tags: Boards of Directors, Charter & bylaws, Director nominations, Engagement, Institutional Investors, ISS, No-action letters, Proxy access, Rule 14a-8, SEC, Securities Regulation, Shareholder proposals, Shareholder voting Board Decisions in Delaware M&A Transactions Posted by Robert B. [read post]
24 Feb 2016, 11:27 am
In 2013, Western Property Holdings LLC sued Aequitas Capital Management Inc. [read post]
23 Feb 2016, 7:36 am
Jones Capital Equities Management, Admin. [read post]
23 Feb 2016, 6:51 am
Capital One Auto Fin., 736 F.3d 880, 884 (9th Cir.2013); Vodenichar v. [read post]
22 Feb 2016, 5:57 pm
Have you suffered losses investing in Aequitas Capital Opportunities Fund, LP formerly Aequitas Merchant Bank Fund, LLC? [read post]
22 Feb 2016, 4:36 pm
After attending the PLUS D&O Symposium some years ago, several colleagues at Partner Re thought it might be worthwhile to provide D&O insurance professionals with historical overview of the evolution of Directors and Officers insurance (D&O) in the US marketplace. [read post]
18 Feb 2016, 12:58 pm
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
18 Feb 2016, 5:53 am
According to the company’s website, LinnCo is a limited liability company created to enhance LINN Energy LLC ability to raise additional equity capital to execute a growth strategy. [read post]
