Search for: "Oxford Investment Partners LLC"
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30 May 2012, 7:37 pm
According to the SEC, Clarke advised clients at Oxford Investment Partners LLC (“Oxford”) to invest in two businesses without disclosing that he co-owned one of them and had financial ties to the owners of the other. [read post]
26 Nov 2009, 4:30 am
Kiley, both Minnesota residents, allegedly operated a foreign currency investment scam through their four main entities: UBS Diversified Growth LLC, Universal Brokerage FX Management LLC, Oxford Global Advisors LLC, and Oxford Global Partners LLC. [read post]
7 Oct 2019, 5:29 am
In Oxford University Bank, [1] a private fund issuer, which otherwise would have been required to register as an investment company, relied on the § 3(c)(7) exemption from the definition of “investment company” in the Act. [read post]
30 Jul 2012, 11:14 am
The branch of NRP which is alleged to have been responsible for the scheme was a broker-dealer called Oxford Private Client Group LLC, which was partly owned by Mr. [read post]
4 Oct 2013, 3:57 am
” In August, Oxford Finance LLC, a specialty finance firm that provides senior debt to life sciences and health care service companies, closed a $7.2 million senior secured term loan with Pritok Capital, a private equity group that specializes in senior housing investment. [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
2 May 2012, 12:51 pm
According to the indictment, Vishnevetsky offered and sold investments, including commodities and promissory notes, primarily through Hodges Trading, LLC, and Oxford Capital, LLC, which purported to be in the business of providing brokerage/management services to investors and of managing commodities funds, including the Oxford Global Macro Fund, the Oxford Global Arbitrage Fund, and the Quantum Global Fund, which existed in name only. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
10 Jan 2012, 3:36 pm
A lot of the parties that invested were clients of Oxford Private Client Group LLC, which is not only a NRP Financial branch, but also it is partly owned by Cook and Beckman. [read post]
12 Aug 2008, 2:00 pm
Brokerage - Residential 3 stuart adler ASG Real Estate/MB Housing Broker 3 Acheson Doyle Partne Acheson Doyle Partners Architecture 3 scott wechsler WeMac Ventures LLC Development - Brokers 3 robb pair harlem lofts Inc RE investor 3 David Atlas Homebuyers Brokerage - Residential 2 Jon-Bentley Wiggins Kamenitzer Real Estate Group Commercial Broker 3 Regina Wierbowski Regina Wierbowski Real Estate Broker 3 Lynn Tesser Pridential Douglas… [read post]
21 Mar 2012, 11:31 am
In terms of function and practice, registered investment advisory firms (RIAs) are similar to brokerage firms. [read post]
2 Jun 2016, 5:23 am
Kiley, UBS Diversified Growth, LLC, Universal Brokerage FX Management, LLC, Oxford Global Advisors, LLC, and Oxford Global Partners, LLCCase number: 09-cv-03333 (United States District Court for the District of Minnesota)Case filed: November 23, 2009Qualifying Judgment/Order: January 12, 2016 3/31/2016 6/29/2016 2016-41 In the Matter of PTC Inc.Administrative Proceeding File No.: 3-17118Case filed: February 16, 2016Qualifying Judgment/Order:… [read post]
13 Sep 2010, 1:04 am
Bied, his partner and their other fund, AGB Partners LLC, agreed to pay $61,365 in disgorgement, penalties and interest. [read post]
27 Nov 2020, 5:58 am
Adler, Jessica Forbes, and Stacey Song, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, November 25, 2020 Tags: Accredited investors, Capital formation, Equity offerings, Institutional Investors, Registration exemptions, Regulation D, Regulation S, Safe harbor, SEC, SEC rulemaking, Securities regulation EQT: Private Equity with a Purpose Posted by Robert Eccles (University of Oxford), Therese Lennehag (EQT… [read post]
13 May 2011, 4:03 pm
Chris Cheatham is managing partner of Cheatham Consulting, LLC, providing consulting and dispute resolution services related to construction, surety, and green building projects. [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon Agency Inc… [read post]
22 Jun 2011, 6:07 pm
BELOW THE FOLD IS TEXT VERSION OF DATABASE OF DEBT COLLECTORS __________________________________________________________________________________ 1ST CREDIT OF AMERICA LLC 300 N ELIZABETH ST STE 220-B CHICAGO, IL 60607 6464 INVESTMENTS LLC 1625 S IRIS WY LAKEWOOD, CO 80232-6347 A COMPLETE FINANCIAL INC 2016 OGDEN ST DENVER, CO 80205 AAA COLLECTORS INC DBA TRIPLE CHECK INC 2950 N ACADEMY BLVD UNIT 201 COLORADO SPRINGS, CO 80917 Aargon Agency Inc… [read post]
23 Jul 2018, 8:19 am
FS2 Capital Partners, LLC). [read post]
22 Apr 2022, 5:33 am
Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Tags: Comment letters, Institutional Investors, Investment advisers, Investor protection, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
22 Apr 2022, 5:33 am
Pitt, Kalorama Partners, LLC, on Thursday, April 21, 2022 Tags: Comment letters, Institutional Investors, Investment advisers, Investor protection, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation [read post]
