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4 Sep 2015, 9:32 am
Last month, the Securities and Exchange Commission (SEC) announced that registered investment adviser Guggenheim Partners Investment Management, LLC had consented to settle charges that it breached its fiduciary duty to its clients in connection with a $50 million loan made by a client to one of Guggenheim's senior executives. [read post]
16 Sep 2015, 6:12 am
In a matter previously discussed on our blog, Guggenheim Partners Investment Management, LLC ("Guggenheim") settled charges, without admitting or denying any violations that it had failed to adopt, or implement reasonable compliance procedures as required by Rule 206(4)-7 under the Investment Adviser's Act designed to regulate gifts and entertainment provided to and from the adviser or its personnel. [read post]
9 Feb 2024, 8:59 am
LLC (NMIM) and Mason Street Advisors LLC (Mason Street) (collectively, Northwestern Mutual), agreed to pay a $16.5 million penalty; Guggenheim Securities LLC (Guggenheim Securities), together with Guggenheim Partners Investment Management LLC (GPIM) (collectively, Guggenheim), agreed to pay a $15 million penalty; Oppenheimer & Co. [read post]
10 Dec 2009, 6:12 am
Meanwhile, Nielsen Business Media, according to a letter from President Greg Farrar, will sell eight of its publications to e5 Global Media Holdings, LLC, a joint venture of Pluribus Capital Mgt. and Guggenheim Partners. [read post]
12 Apr 2024, 11:27 am
Guggenheim Securities LLC (Guggenheim Securities) and Guggenheim Partners Investment Management LLC (GPIM) agreed to pay a $15 million penalty. [read post]
18 Jun 2021, 3:04 am
Co., 21 NY3d 324, 334 [2013], quoting AG Capital Funding Partners, L.P. v State St. [read post]
17 Sep 2010, 8:00 am
To date, fifteen firms have endorsed the Code: investment firms The Carlyle Group, Riverstone Holdings LLC, Pacific Corporate Group Holdings, LLC, HM Capital Partners I, Levine Leichtman Capital Partners, Access Capital Partners, Falconhead Capital, Markstone Capital Group, Ares, Freeman Spogli, Quadrangle, and GKM; placement agent Wetherly Capital Group; political consulting firm Global Strategy Group; and lobbying firm Platinum Advisors. [read post]
2 Sep 2010, 3:38 am
., LLC v Thomas, 70 AD3d 986, 987; see CPLR 3025[b]; Tyson v Tower Ins. [read post]
21 Sep 2009, 5:39 am
Other attendees include representatives from: The Carlyle Group; Westover Capital Advisors, LLC; Oppenheimer Funds, Inc; State Street; Penbrook Management, LLC; Trilogy Capital; Bridgewater Associates; AXA Investment Managers; Strategic Value Partners, LLC; Pershing Square Capital Management; Guggenheim Advisors, LLC; Lone Pine Capital; Parkway Advisors; Vicis Capital LLC; The Swathmore Group; Abbott Capital Management, LLC;… [read post]
29 Nov 2016, 2:02 pm
Carey and Guggenheim Partners, LLC that seeks to provide investors of its feeder funds with current income, capital preservation and, to a lesser extent, capital appreciation. [read post]
22 Oct 2011, 10:58 am
Guggenheim v. [read post]
18 Oct 2012, 10:03 pm
Tremont Partner was the sole general partner of both funds. [read post]
6 Apr 2012, 2:50 am
A breach of fiduciary duty cause of action must be pleaded with the particularity required by CPLR 3016(b) (see Palmetto Partners, L.P. v AJW Qualified Partners, LLC, 83 AD3d 804, 808; Chiu v Man Choi Chiu, 71 AD3d 621, 623). [read post]
30 Sep 2015, 5:07 am
Mikhail Galas, Alexander Hawatmeh, Christopher Mwroca, and Tovy PustovitCase Number: 14-cv-05621 (United States District Court for the Western District of Washington)Case Filed: August 5, 2014Qualifying Judgment/Order: July 21, 2015 8/31/2015 11/29/2015 2015-79 In the Matter of Guggenheim Partners Investment Management, LLCAdministrative Proceeding File No.: 3-16735Case Filed: August 10, 2015Qualifying Judgment/Order: August 10, 2015 8/31/2015 11/29/2015 2015-78 SEC v. [read post]
13 Feb 2012, 9:22 am
Guggenheim v. [read post]
21 Jun 2013, 3:30 am
He is a principal of Rockwood Partners, LLC, which provides medical consulting services in New York City. [read post]
30 Jun 2022, 7:05 am
In June 2021, the SEC fined Guggenheim Securities, LLC for maintaining a policy that it contended impeded potential whistleblowers from communicating with the SEC by requiring employees to obtain permission before reporting securities violations. [read post]
6 Oct 2021, 5:26 am
., LLC v Houston Cas. [read post]
30 Jun 2022, 12:49 pm
In June 2021, the SEC fined Guggenheim Securities, LLC for maintaining a policy that it contended impeded potential whistleblowers from communicating with the SEC by requiring employees to obtain permission before reporting securities violations. [read post]
4 Oct 2009, 10:06 am
., LLC v Wilson, Elser, Moskowitz, Edelman & Dicker, LLP, 38 AD3d 34, 38; see AG Capital Funding Partners, L.P. v State Street Bank and Trust Co., 5 NY3d 582, 591; Leon v Martinez, 84 NY2d 83, 87-88). [read post]
