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9 Oct 2018, 8:32 am
Continue reading The post 1st Global Capital Investors Solicited by Pinnacle Plus Wealth Management May Have Legal Claims appeared first on Investor Lawyers Blog. [read post]
2 Mar 2012, 9:05 am
The situation involving Banc of America Securities (Merrill Lynch) and Lyon Capital Management seems to be similar to the situation involving many other CDO’s during the crisis. [read post]
20 Feb 2009, 2:48 pm
Highland Capital Management said one of its hedge funds was wiped out by losses on high-risk debt securities, making it the third Highland fund to close since October. [read post]
29 Jun 2014, 11:29 am
The reason venture capital funds request such a letter is to avoid becoming subject to the requirements of the Employee Retirement Income Security Act of 1974, or ERISA, and its regulations. [read post]
13 Apr 2020, 9:52 am
This is significant because the Wildermuth Fund’s manager, Daniel Wildermuth, has an ownership stake in Kalos Capital and the fund’s manager, Wildermuth Advisory, is under common control with Kalos Capital. [read post]
22 Sep 2010, 6:14 pm
Vision Capital Advisors LLC, a New York-based hedge fund manager that has figured into several Sharesleuth stories (here and here), said Wednesday that the Securities and Exchange Commission is investigating its activities. [read post]
8 Feb 2021, 2:17 pm
GPB Capital is a New York-based alternative asset manager that raised over $1.8 billion dollars from investors across the United States. [read post]
14 Feb 2022, 9:02 am
Georgiev, The Human Capital Management Movement in U.S. [read post]
22 Jun 2015, 6:03 am
What does it take to be a venture capital fund manager? [read post]
28 Aug 2017, 9:46 am
The General Partner or Manager has a duty to consider whether lower-risk reinvestment options are appropriate, because they likely better serve the goal of the EB-5 investors to receive a return of their capital at such time as they are eligible under USCIS policy. [read post]
7 Jun 2022, 7:47 pm
Continue reading The post SEC to Seek Receivership for GPB Capital appeared first on Securities Arbitration Lawyer Blog. [read post]
2 Mar 2012, 9:05 am
The situation involving Banc of America Securities (Merrill Lynch) and Lyon Capital Management seems to be similar to the situation involving many other CDO’s during the crisis. [read post]
21 May 2019, 6:11 am
According documents filed by The Securities and Exchange Commission’s (SEC) it appears that some of the victims were brought to 1st Global by brokers who formerly worked for Taylor Capital Management (Taylor Capital). [read post]
5 Mar 2019, 9:56 am
The post FBI Is Investigating GPB Capital Holdings appeared first on Securities Fraud Attorney. [read post]
28 Dec 2022, 10:35 pm
Four Springs Capital Trust Withdraws Registration Statement due to Market Conditions The White Law Group continues to investigate potential securities claims involving Four Springs Capital Trust. [read post]
4 Mar 2022, 8:05 am
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…Read the Full Press ReleaseHave a securities law question? [read post]
6 Mar 2024, 6:37 pm
The securing of a management rights letter by a venture capital fund is critical in that it is the means through which the venture capital fund has direct contractual management rights in its underlying portfolio companies. [read post]
2 Aug 2011, 5:11 pm
As most people involved in the investment management industry know, many private investment fund managers will soon be required to register as investment advisers with the SEC, unless they meet certain exemptions, such as the so-called “private fund adviser exemption,” which exempts private fund managers who manage under $150 million in assets or the “venture capital exemption,” which exempts fund managers who solely… [read post]
31 Jul 2013, 7:24 am
Capital Portfolio Manager [read post]
7 Aug 2020, 11:52 am
The Comptroller of the Currency said in a consent order Thursday that Capital One failed in 2105 to establish effective risk management ... [read post]
