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14 Jun 2021, 4:32 am
Barkalow unilaterally paid his management company $8,000 from the OP account. 2015: Tensions ratcheted up over the Shultz Loan which had a balloon payment due in December of that year. [read post]
31 Aug 2020, 4:56 am
By all accounts, the Put Option was extensively negotiated. [read post]
21 Mar 2019, 9:18 am
After reviewing numerous accounts, we believe the leverage in some client portfolios was many times the mandate amount. [read post]
24 Apr 2009, 6:45 am
The SEC found that Hennessee held itself out as "pioneers in Hedge Fund Consulting" with years of experience in helping clients achieve "higher investment returns with lower risk" by recommending "a customized portfolio of hedge funds, properly diversified and managed. [read post]
4 Mar 2018, 5:05 pm
Background Diabetic Care Rx LLC d/b/a Patient Care America (PCA) is a compounding pharmacy located in Pompano Beach, Florida. [read post]
30 Jun 2010, 7:14 pm
Cambria provides investment management services through a number of portfolio strategies to high net worth individuals and institutions through separately managed accounts and private funds. [read post]
3 Dec 2021, 3:34 pm
As an individual investor, the ability to make informed decisions is critical to managing your portfolio effectively and minimizing your risk of loss. [read post]
25 Jan 2023, 1:03 pm
He also alleged that unauthorized sales were made in his account. [read post]
3 Jun 2021, 6:20 am
In parallel actions, the Commodity Futures Trading Commission announced charges against LJM Funds Management, Ltd., LJM Partners, its portfolio managers and its risk manager. [read post]
27 Sep 2016, 7:34 am
LPL also plans on cutting prices and easing minimums on some of its internally managed model wealth portfolios in anticipation of the DOL fiduciary rule.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
20 Mar 2016, 5:55 am
(ACM) and the manager of the Aequitas Funds is Aequitas Investment Management, LLC (AIM). [read post]
31 Jan 2019, 8:04 am
Overconcentration of Portfolio Assets – There have been some cases in which brokers and advisors have recommended that investors pour a significant portion of their portfolio into yield enhancement strategies. [read post]
5 Sep 2019, 8:09 am
In the CYES strategy, an outside manager, Harvest Volatility manages a $9 billion portfolio of an options structure via separately managed accounts using listed index options. [read post]
19 Apr 2013, 10:00 am
FundersClub Management LLC exercises management rights and provides the start-up with strategic and networking assistance. [read post]
21 May 2020, 6:40 am
If you have any questions about how your account has been handled, call (800)-975-4345 to speak with an experienced securities attorney. [read post]
18 Sep 2018, 6:00 am
Sources: In the Matter of VSS Fund Management LLC, Adm. [read post]
11 Jan 2016, 11:12 am
Morgan wealth management subsidiaries who paid $267 million and admitted wrongdoing for failing to disclose conflicts of interest, including preference in discretionary wealth management accounts for proprietary mutual funds and hedge funds and for third-party-managed hedge funds that shared fees.Investment management firm F-Squared Investments, which paid $35 million and admitted wrongdoing, for defrauding customers through false performance advertising… [read post]
26 May 2023, 8:20 am
Sciens agreed to be censured and pay a $275,000 civil penalty (In the Matter of Sciens Investment Management, LLC, Release No. [read post]
9 Jan 2019, 10:15 am
The proceedings are the SEC’s first enforcement actions against robo-advisers, which provide automated, software-based portfolio management services.An SEC order found that Redwood City, California-based Wealthfront Advisers LLC (formerly known as Wealthfront Inc.), a robo-adviser with over $11 billion in client assets under management, made false statements about a tax-loss harvesting strategy it offered to clients. [read post]
10 Sep 2014, 7:25 am
The SEC alleges that as the management fees earned by Archer Advisors LLC were shrinking due to the funds’ worsening performance, the firm’s owner and an employee implemented a scheme to enrich themselves at the expense of investors in the funds. [read post]
