Search for: "Portfolio Management & Investigations, LLC"
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13 Aug 2019, 10:34 pm
Securities and Exchange Commission (SEC), the FBI, and the New York Business Integrity Commission are reportedly investigating GPB Capital Holdings LLC (“GPB”). [read post]
22 Feb 2016, 7:04 am
According to FINRA, Gladden participated in the management of the Church Development Fund and Church Fund and served as a governing member of the funds’ respective managers, CDF Managing Partners, LLC (CDF Managing Partners) and CF Manager, LLC (CF Manager). [read post]
25 Oct 2010, 7:48 pm
On October 20, 2010, Data Network Storage, LLC of Newport Beach, California (“DNS”) filed a complaint requesting that the ITC commence an investigation pursuant to Section 337. [read post]
6 Apr 2021, 10:58 am
The post Lodging Fund REIT III Update on Investigation appeared first on The White Law Group. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
15 Aug 2022, 7:53 am
Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi recently settled securities fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged inaccurate disclosures about mortgage delinquency rates made to investors in AOMT 2018-PB1 notes, according to an Order Instituting Administrative and Cease-and-Desist Proceedings under the review by attorney Alan Rosca. [read post]
8 Jan 2016, 10:02 am
Cohen will be prohibited from supervising funds that manage outside money until 2018 in order to settle charges for failing to supervise a former portfolio manager who engaged in insider trading while employed at his firm. [read post]
13 Feb 2013, 11:16 am
According to Sentio’s website, the current Sentio Healthcare portfolio features 15 properties, managed by 11 different operators, located in 10 different states. [read post]
28 Aug 2015, 10:44 am
It also may bring actions against individuals at the firm, such as the chief compliance officer, portfolio managers, members of the pricing committee or pricing group, or others. [read post]
24 Jan 2012, 8:37 am
Attorney’s Office for the Southern District of New York.Diamondback and two of its employees (analyst Jesse Tortora and portfolio manager Todd Newman), along with five other men and a second hedge fund, were named in the SEC's January 18, 2012 lawsuit. [read post]
30 Jul 2020, 11:00 am
The Company expects a decrease in general and administrative expenses (approximately $18 million on an annualized basis starting in 2021) since it will no longer pay any acquisition, asset management, construction management, property management or disposition fees to affiliates of the sponsor, Carter Validus REIT Management Company II LLC. [read post]
19 Feb 2021, 2:02 pm
Indie Asset is an Indiana-based investment adviser firm that, among other things, offers its clients a series of “house funds” managed by its affiliate: Indie Diversified Partners, LLC. [read post]
30 Aug 2017, 10:01 am
ArciTerra Group, LLC acquires, holds, develops, manages, leases, and sells real estate properties in North America. [read post]
20 Dec 2016, 2:38 pm
Also indicted were Daniel Small, a former Managing Director and co-Portfolio Manager of Platinum; and Jeffrey Shulse, the former Chief Executive Officer and Chief Financial Officer of Black Elk Energy Offshore Operations, LLC. [read post]
30 Jun 2018, 12:48 pm
Some of the Woodbridge entities or Woodbridge Funds include the following: WMF Management, LLC Woodbridge Group of Companies, LLC Woodbridge Mortgage Investment Fund 1, LLC Woodbridge Mortgage Investment Fund 2, LLC Woodbridge Mortgage Investment Fund 3, LLC Woodbridge Mortgage Investment Fund PA, LLC Woodbridge Group of Companies, LLC (DBA Woodbridge Wealth) Investors who have suffered losses are encouraged to contact us at… [read post]
15 Dec 2022, 10:23 am
Blackwells Capital LLC proxy war with AR Global continues, Investor claims “Extreme Underperformance” According to the DIWire this week, Blackwells Capital LLC, an activist investor, reportedly filed a preliminary proxy statement to attempt to replace AR Global (Formerly American Realty Capital) as the external manager of the Necessity Retail REIT (formerly known as American Finance Trust). [read post]
21 Mar 2022, 11:09 am
To learn more about the firm’s investigation please see: SEC Charges LJM Funds Management & LJM Partners with Fraud LJM Capital Preservation & Growth Fund – Investment Losses GPB Automotive Portfolio LP, Securities Investigation Update Geneos Wealth Management & GPB Holdings II The foregoing information is all publicly available and provided by the White Law Group. [read post]
8 Apr 2020, 6:20 am
According to filings with the SEC, the REIT, sponsored by SmartStop Asset Management LLC, said that due the Covid-19 pandemic there would be no way to predict overall financial results, and they believe it is “prudent to retain cash and preserve financial flexibility. [read post]
11 Mar 2020, 2:34 pm
Williams and Kinetic Investment Group, LLC allegedly engaged in violation of United States Securities Law, breach of fiduciary duty, fraudulent and unregistered securities offering and making material misrepresentations to investors who they solicited to invest in Kinetic Funds I LLC, a purported hedge fund they managed. [read post]
