Search for: "INVESTMENT CAPITAL MANAGEMENT, INC."
Results 61 - 80
of 2,454
Sort by Relevance
|
Sort by Date
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
6 Nov 2023, 4:16 am
You’ve done nothing wrong, and you’d like to continue as a shareholder rather than have your investment liquidated. [read post]
2 Nov 2023, 6:55 am
(CRD# 8174) of Weehawken, NJ, and Ladenburg Capital Management Inc. [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
25 Oct 2023, 12:49 pm
Joseph Desapio Spartan Capital Securities, LLC Worden Capital Management LLC DeVere Dudley Raymond James Financial Services, Inc. [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
20 Oct 2023, 2:40 pm
The event brought together top investment managers and allocators to discuss specific investment ideas and the fund investment environment. [read post]
18 Oct 2023, 3:02 pm
KLDiscovery To Expand Managed Review Capabilities with Cenza Technologies Acquisition KLDiscovery Inc. [read post]
9 Oct 2023, 9:05 pm
Davis Inc. [read post]
9 Oct 2023, 2:34 pm
This article is co-authored by Sarah Abrams, Head of Professional Liability Claims, Bowhead Specialty Underwriters, Inc., Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
9 Oct 2023, 4:22 am
Leasing, development, and operation costs for the four locations exceeded $2.2 million (exceeding by $1 million the initial investors’ capital investment of $1.2 million). [read post]
5 Oct 2023, 7:26 am
The attorney has not heard back from the owner, so they assume that they were the intended victim of a scam. 1 Groat Machinery, Inc. 39555 Orchard Hill Place Novi, MI 48375 ATTN: Mr. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC complaint | SEC order Investment adviser agrees to settle disclosure claims for SPAC-related activity In the Matter of Monroe Capital Management Advisors (A.P. [read post]
2 Oct 2023, 9:50 am
This could include through a “voting interest” or other governance rights, such as “the right to appoint [board] members, influence capital budgets, determine investment return thresholds, or select particular managers[.] [read post]
29 Sep 2023, 4:26 pm
However, the Office of Management and Budget recently advised the U.S. [read post]
28 Sep 2023, 12:22 pm
The following are a few of the alternative investments that our firm is investigating: Atlas Growth partners CNL Healthcare Properties Sila Realty Trust Peakstone (Griffin Realty Trust) GPB Capital GWG holdings L Bonds Healthcare Trust Inc. [read post]
25 Sep 2023, 9:03 am
As we have previously reported, in February 2022, WP Carey Inc. exited investment management, after acquiring Corporate Property Associates 18 Global Inc in a $2.7 billion cash-and-stock deal. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
15 Sep 2023, 11:47 am
Investors may find themselves locked in their investments for several years, potentially limiting access to their capital when needed. [read post]
