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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… [read post]
31 Oct 2011, 1:46 pm
The SEC is charging Dblaine Capital, LLC and owner David B. [read post]
23 Apr 2018, 9:21 am
File 3-18127)https://www.sec.gov/litigation/admin/2018/ia-4895.pdfMartin Shkreli was the Managing Partner and the portfolio manager for hedge funds MSMB Capital Management LP and MSMB Healthcare LP and he also incorporated Retrophin LLC, a pharmaceuticals company that went public, by way of a reverse merger, at which time he served as the firm's President and CEO. [read post]
4 Jun 2018, 6:00 am
Biglari Capital LLC Brahma Management Ltd. [read post]
21 Aug 2010, 9:29 am
Venture Capital Domestic Hedge Funds Standard Structure Section 3(c)1 Hedge Funds Section 3(c)7 Hedge Funds Why is a Hedge Fund Structured as a LP? [read post]
9 May 2016, 5:00 am
IA-4140 (July 14, 2015) (notice) and IA-4172 (August 14, 2015) (order) Starwood Capital Group Management, LLC, Investment Advisers Act Release Nos. [read post]
29 Jan 2020, 4:55 am
The firm provides a full suite of legal services to the investment management community, including hedge fund, private equity fund, venture capital fund, mutual fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
24 Nov 2015, 4:00 am
SEC examinations: How to successfully handle the process Doug Cornelius, Beacon Capital Partners LLC 9. [read post]
23 Sep 2013, 12:50 pm
Robert Stinson, Jr., Life's Good, Inc., Life's Good Stabl Mortgage Fund, LLC, Life's Good High Yield Mortgage Fund, LLC, Life's Good Capital Growth Fund, LLC, IA Capital Fund, LLC, and Keystone State Capital CorporationCase number: 10-cv-03130 (United States District Court for the Eastern District of PennsylvaniaCase filed: June 29, 2010Qualifying judgment/order: June 27, 2013 … [read post]
8 Dec 2020, 12:44 pm
The investors were not customers of Foreside Fund Services, LLC. [read post]
22 Feb 2022, 7:00 am
Recall that in IA-5248, the SEC’s 2019 interpretive release that addressed the standard of conduct for investment advisers, the Commission withdrew the 2007 No-Action Letter previously issued in Heitman Capital Management, LLC (Feb. 12, 2007) (“Heitman Letter”). [read post]
8 Mar 2022, 12:10 pm
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
22 Feb 2023, 1:07 pm
Disclosure is limited even for the two well-known, publicly traded litigation fund managers, Burford Capital and Omni Bridgeway; it is sparser still—and highly self-selective—for all the private funds involved. [read post]
21 Dec 2017, 6:00 am
IA-4140 (July 14, 2015) (notice) and IA-4172 (August 14, 2015) (order); Starwood Capital Group Management, LLC, Investment Advisers Act Release Nos. [read post]
8 Mar 2022, 8:10 am
Regards, Bart Mallon & Justin Schleifer Aspect Advisors LLC Aspect Advisors LLC is modern regulatory consultant providing customized compliance solutions to entrepreneurs. [read post]
25 Feb 2010, 8:40 pm
Madoff Investment Securities, LLC (“BLMIS”). [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
16 Aug 2017, 6:04 am
In the Matter of Pacific Investment Management Company LLC (December 1, 2016)www.sec.gov/litigation/admin/2016/ia-4577.pdf PIMCO Total Return-Exchange-Traded Fund (“BOND”) was one of PIMCO’s first actively managed exchange-traded funds. [read post]
