Search for: "Investor B"
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11 Jun 2007, 6:26 pm
An investor usually pays one percent per year for 5 years on B-shares, a total of 5%. [read post]
7 Jun 2018, 12:31 pm
These firms are referred to by the SEC anonymously as “Investment Adviser A” out of Santa Barbara, California, and “Investment Adviser B” out of New York, New York. [read post]
29 May 2010, 8:37 am
Scene: a modest conference room in a class B office park. [read post]
14 Aug 2018, 4:09 pm
Oliver, Glenn Sweatt, Alexander B. [read post]
14 Aug 2018, 4:09 pm
Oliver, Glenn Sweatt, Alexander B. [read post]
9 Oct 2011, 9:47 am
Wunderlich, Institute for Investor Protection, was recently posted on SSRN. [read post]
5 Jul 2007, 5:58 am
O’Neal, 36, Atlanta, Georgia, pled guilty before United States District Judge Beverly B. [read post]
19 May 2020, 6:49 am
Section 78j(b), and Exchange Act Rule 10b-5, 17 C.F.R. [read post]
7 Jun 2011, 11:58 am
The hedge fund industry has asked the IRS to place on its forthcoming 2011-12 Guidance Priority List guidance for Section 864(b) of the Code, which provides safe harbors for proprietary trading in stock, securities, and commodities by passive non-U.S. investors, including private investment funds. [read post]
21 Mar 2016, 3:25 pm
According to the report, Ameriprise Financial was ordered pay a little over $2 million in damages and sanctions to the estate of Glenny B. [read post]
22 Apr 2011, 6:33 pm
An SEC study of Section 404(b) of Sarbanes-Oxley and its impact on issuers with a public float of $75 to $250 million concluded that investors view auditor attestation of a company's internal controls with a beneficial eye and that there is no conclusive evidence that 404(b) has chilled IPO activity in the US in the range of issuers studied. [read post]
24 Aug 2008, 8:15 pm
But in order for an entrepreneur to be taken to the cleaners by an investor, the investor or investor’s counsel must be sophisticated regarding these deals. [read post]
9 Jul 2010, 10:03 am
§ 78j(b)] and Rule 10b-5 thereunder [17 C.F.R. [read post]
3 Jun 2010, 12:49 pm
When MAT Three imploded in February 2008, investors suffered devastating losses. [read post]
1 Aug 2023, 8:00 am
Two of the most prevalent private sources of start-up capital are from angel investors and venture capitalists. [read post]
2 Jun 2011, 2:14 pm
Cooper and Susan B. [read post]
8 Feb 2011, 7:08 am
Contrary to these representations, most of the investor funds were used to pay salaries to the defendants and interest to prior investors. [read post]
5 Feb 2009, 12:13 pm
Securities and Exchange Commission ( SEC ) as related to the Madoff ponzi scheme: The Securities and Exchange Commission (SEC) has posted information for Madoff investors at: [www.sec.gov] See also NYT article 2-5-09: by Diana B. [read post]
21 Sep 2018, 10:12 am
Continue reading The post AFIN Update: Upcoming Conversion of American Finance Trust B-1 Shares May Have Dilutive Effect on AFIN Share Price appeared first on Investor Lawyers Blog. [read post]
13 Nov 2019, 6:24 am
Venture capitalists will not invest in a 506(c) offering, and this entrepreneur could not go back and change the offering to a 506(b) offering. [read post]
