Search for: "Eastern Asset Management LLC"
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21 Apr 2010, 5:00 am
Jan. 28, 2010), the District Court for the Eastern District of New York held a sale of assets agreement (“Note”) allowing for payment in the form of Visual Management Systems, Inc. [read post]
19 Oct 2023, 12:28 pm
The post SEC Order Asset Freeze For Nanban Ventures, LLC appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Jul 2018, 3:37 am
SEC Obtains Asset Freeze, Shuts Down $5 Million Ponzi Scheme (SEC Litigation Release No. 24184)https://www.sec.gov/litigation/litreleases/2018/lr24184.htmThe Securities and Exchange Commission filed a Complaint in the United States District Court for the Eastern District of Virginia charging Edward Lee Moody and his wholly-owned investment adviser firm CM Capital Management, LLC with violations of the anti-fraud provisions of Section 17(a) of the Securities Act of… [read post]
19 Jun 2010, 7:45 am
(Eastern) in Wilmington, Delaware. [read post]
17 May 2013, 10:56 am
., Asenqua Capital Management, LLC, AQC Asset Management, Ltd., and Fireside Capital Management, Ltd.Case number: 09-cv-1177 (United States District Court for the Northern District of California)Case filed: March 18, 2009Qualifying Judgment/Order: April 26, 2013 5/17/2013 8/15/2013 2013-48 SEC v. [read post]
4 Apr 2018, 11:28 am
Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related HoldingsStaff Letter: Engaging on Fund Innovation and Cryptocurrency-related HoldingsDalia Blass, Director, Division of Investment Management, US Securities and Exchange CommissionIn a staff letter to the Investment Company Institute and Asset Management Group, Blass addressed potential issues the SEC has identified concerning registered funds and products focused on cryptocurrency. [read post]
11 Feb 2010, 8:51 am
Stein managed Gemini Fund I hedge fund, Prima Capital Management Corp., and DISP LLC, a firm which invested in life insurance policies. [read post]
21 Apr 2021, 9:37 am
GPB Holdings II LP is a private placement fund sponsored by GPB Capital Holdings, LLC, a New York-based global asset management firm. [read post]
7 Jun 2022, 7:47 pm
District Court for the Eastern District of New York, the SEC argued that Mr. [read post]
2 Jun 2010, 8:52 am
Eastern Financial had $1.6 billion in assets at the end of 2008. [read post]
18 Apr 2016, 9:15 am
The complaint, which was filed in the United States District Court for the Eastern District of Pennsylvania, alleged that Paul and Ellis also falsely claimed that they managed approximately $164 million in client assets and that their investment strategies generated annual returns between 8.5% – 56%. [read post]
17 Dec 2015, 11:32 am
In what the Department of Justice terms “Ponzi-like” schemes, Shkreli allegedly defrauded investors of two former hedge funds he managed and misappropriated $11 million in assets from the biopharmaceutical company he once headed, Retrophin, all in the course of about five years. [read post]
1 Mar 2013, 11:56 am
EagleEye Asset Management, LLC and Jeffrey A. [read post]
18 Jul 2013, 3:00 pm
District Court of the Eastern District of Texas, [the forex trader] raised investor money through two entities that he owns and controls: KGW Capital Management and Revelation Forex Fund. [read post]
18 Oct 2010, 7:28 pm
(Eastern) BNA Subsidiaries has not yet filed its schedules of assets and liabilities, which list all of the company's known and acknowledged creditors. [read post]
23 Feb 2010, 1:24 pm
The firm will take a fee only if we are successful in recovering your assets. [read post]
10 Jul 2017, 6:52 am
BWA’s Form ADV and Investment Advisory Contracts stated that clients would typically be billed anywhere from 1 percent to 1.5 percent of their assets under management on a quarterly basis. [read post]
15 Aug 2022, 3:48 am
” One of the companies acquired by plaintiff, called Golden Fortune, was the longtime, exclusive eastern U.S. distributor for a certain supplier of a Chinese bakery product known as mooncakes. [read post]
4 Sep 2013, 12:21 pm
As the trust adviser, Wulf was responsible for managing the trusts assets and safeguarding more than $150 million paid by customers until such time that they needed their funds. [read post]
31 Jul 2013, 5:10 pm
Hofmeister was the trustee of the four pension plans, and Tew was managing director of their investment service provider, Bluegrass Investment Management LLC. [read post]
