Search for: "Press Management, LLC"
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3 Apr 2024, 12:50 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. [read post]
6 Apr 2023, 9:55 am
Alden Short & Hinson Jennings, LLC national origin harassment lawsuit. [read post]
1 Jul 2009, 8:06 pm
Focht, the former Chief Operating Officer of 3V Capital Management LLC. [read post]
1 May 2019, 6:08 pm
According to DOJ’s press release: Gary D. [read post]
3 Apr 2023, 10:40 am
The Securities and Exchange Commission today charged New Jersey-based Chatham Asset Management LLC and its founder, Anthony Melchiorre, in connection with improper trading of certain fixed income securities. [read post]
19 Sep 2023, 8:47 am
The Securities and Exchange Commission today announced charges against Concord Management LLC of Tarrytown, New York, and its owner and principal, Michael Matlin, for operating as unregistered investment advisers to their only client—a wealthy former…Read the Full Press Release Have a securities law question? [read post]
17 May 2022, 6:50 am
LLC (AGI US) and three former senior portfolio managers with a massive fraudulent scheme that concealed the immense downside risks of a complex options trading…Read the Full Press ReleaseHave a securities law question? [read post]
26 Sep 2023, 7:01 am
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. [read post]
20 Oct 2010, 8:07 am
The Securities and Exchange Commission (SEC) has issued a press release stating that the SEC has charged Paul T. [read post]
20 Feb 2020, 10:44 am
On February 18, 2020, the SEC announced that it had sued EquiAlt LLC (as well as EquiAlt Fund, LLC, EquiAlt Fund II, LLC, EquiAlt Fund III, LLC, and EA SIP, LLC), owner and CEO Brian Davison, and managing director Barry Rybicki in federal court. [read post]
29 Apr 2022, 1:43 pm
Medley Management and Former Executives to reportedly Pay $10 Million Fine for Misleading Clients and Investors According to a press announcement on April 28, 2022, the Securities and Exchange Commission reportedly charged publicly-traded asset manager Medley Management and its former co-CEOs with making misrepresentations to investors and clients about the company’s future growth. [read post]
13 Aug 2021, 7:25 am
Ruiz of New York, and two entities he controls, Carter Bain Wealth Management, LLC (Carter Bain) and RAM Fund, LP (RAM). [read post]
16 May 2022, 8:05 am
The Securities and Exchange Commission today announced that it obtained asset freezes and other emergency relief against StraightPath Venture Partners LLC, StraightPath Management LLC, Brian K. [read post]
8 Aug 2018, 12:26 pm
NextDecade Corporation (NextDecade) announced that it has agreed to sell $50 million of convertible preferred stock: $35 million worth to HGC NEXT INV, LLC and $15 million worth to funds and accounts managed by each of York Capital Management Global Advisors, LLC and its affiliates, Valinor Management, L.P., and Halcyon Capital Management LP. [read post]
3 Sep 2020, 12:09 pm
LLC Chapter 11 bankruptcy proceedings, with abusing his position on the committee to attempt to benefit a…Read the Full Press ReleaseHave a securities law question? [read post]
20 Jun 2023, 3:36 pm
The Securities and Exchange Commission today charged New York-based investment adviser Insight Venture Management LLC with charging excess management fees and failing to disclose a conflict of interest to investors relating to its fee calculations. [read post]
8 May 2007, 5:17 am
Press release: FRANKLIN, Mich., May 3 /PRNewswire/ — Spectrum Computer Forensics & Risk Management LLC, a provider of digital discovery and computer forensic services, is providing legal assistants with information on the best practices and pitfalls to avoid in the activities relating to e-discovery. [read post]
12 Jun 2023, 12:21 pm
The Securities and Exchange Commission today charged investment adviser Sabby Management LLC and its managing partner, Hal D. [read post]
1 Oct 2016, 10:38 am
Hedge fund manager Och-Ziff Capital Management Group LLC (Och-Ziff) [official website] has agreed to pay a $412 million settlement, of which up to $213 million are criminal penalties [DOJ press release] imposed in connection with a widespread scheme involving the bribery of officials in the Democratic Republic of Congo (DRC) and Libya—a violation of the Foreign Corrupt Practices Act (FCPA) [text, PDF]. [read post]
7 Jul 2023, 3:00 am
Last month, the SEC announced a settled enforcement action against Insight Venture Management LLC alleging that the fund advisor charged excess management fees & failed to disclose a conflict of interest relating to its fee calculations. [read post]
