Search for: "Press Management, LLC"
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12 Sep 2023, 10:22 am
The Securities and Exchange Commission today announced a settled action against New York-based YieldStreet Inc. and its registered investment adviser subsidiary, YieldStreet Management LLC (together, YieldStreet), for failing to disclose critical…Read the Full Press Release Have a securities law question? [read post]
10 Aug 2022, 7:05 am
The Securities and Exchange Commission today charged Atlanta-based Angel Oak Capital Advisors, LLC and its portfolio manager Ashish Negandhi for misleading investors about the firm’s fix-and-flip loan securitization’s delinquency rates. [read post]
1 Mar 2024, 7:06 am
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser HG Vora Capital Management LLC for its failure to make timely ownership disclosures in the lead-up to its May 2022 acquisition bid for…Read the Full Press Release Have a securities law question? [read post]
6 Mar 2023, 8:45 am
The Securities and Exchange Commission today announced that it filed an emergency action in which it successfully obtained an asset freeze, appointment of a receiver, and other emergency relief against Miami-based investment adviser BKCoin Management LLC…Read the Full Press ReleaseHave a securities law question? [read post]
4 Mar 2022, 8:05 am
The Securities and Exchange Commission today charged venture capital fund adviser Alumni Ventures Group, LLC (AVG) with making misleading statements about its management fees and engaging in inter-fund transactions in breach of fund operating agreements…Read the Full Press ReleaseHave a securities law question? [read post]
25 Apr 2007, 11:18 am
Press release, April 4, 2007: “iCONECTnxt Pod” is a fully configured ready-to-use document review and management system that saves on IT costs. [read post]
29 Jun 2021, 6:20 am
., a provider of an order and execution management system (OEMS) that facilitates electronic trading, has agreed to pay a $2.75 million penalty for its failure to register as a broker…Read the Full Press ReleaseHave a securities law question? [read post]
2 Jul 2021, 7:55 am
The Securities and Exchange Commission today announced fraud charges against Sean Wygovsky, a trader at a major Canada-based asset management firm, in connection with a long-running and lucrative front-running scheme that Wygovsky perpetrated in the…Read the Full Press ReleaseHave a securities law question? [read post]
16 Jun 2023, 7:00 am
The Securities and Exchange Commission today announced that registered investment adviser Pacific Investment Management Company LLC (PIMCO) will pay $9 million to settle two enforcement actions relating to disclosure and policies and procedures…Read the Full Press Release Have a securities law question? [read post]
7 Jun 2021, 12:31 pm
The defendants have agreed to pay more than $…Read the Full Press ReleaseHave a securities law question? [read post]
4 May 2023, 9:31 am
The Securities and Exchange Commission today announced settled charges against Fargo, North Dakota-based investment adviser Classic Asset Management LLC (CAM) and indirect part-owner and investment adviser representative Douglas G. [read post]
5 May 2023, 11:10 am
The Securities and Exchange Commission today announced charges against investment adviser Pinnacle Advisors LLC for aiding and abetting Liquidity Rule violations by a mutual fund it advised and whose Liquidity Risk Management Program it administered. [read post]
10 Mar 2020, 10:26 am
On March 6, 2020, the Securities and Exchange Commission obtained an asset freeze and other emergency relief against Florida-based investment adviser Kinetic Investment Group LLC and its managing member, Michael Scott Williams, in connection with an…Read the Full Press ReleaseHave a securities law question? [read post]
2 Aug 2022, 8:05 am
The Securities and Exchange Commission today announced settled charges against a convertible note dealer, Crown Bridge Partners, LLC, and its managing members, Soheil and Sepas Ahdoot of Great Neck, N.Y., for failing to register with the SEC as…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2023, 9:15 am
Scott Hargis is an architectural photographer who sued Pacifica Senior Living Management LLC in September 2022 for damages and injunctive relief related to infringement of 43 of Hargis’ photos that Pacifica used to advertise and market its senior living facilities. [read post]
18 Feb 2020, 8:34 am
The Securities and Exchange Commission today announced an emergency enforcement action and a temporary restraining order and asset freeze against Florida-based private real estate firm EquiAlt LLC, its CEO Brian Davison, and its Managing Director Barry…Read the Full Press ReleaseHave a securities law question? [read post]
5 Nov 2021, 9:55 am
Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC were…Read the Full Press ReleaseHave a securities law question? [read post]
19 Dec 2023, 9:15 am
Scott Hargis is an architectural photographer who sued Pacifica Senior Living Management LLC in September 2022 for damages and injunctive relief related to infringement of 43 of Hargis’ photos that Pacifica used to advertise and market its senior living facilities. [read post]
21 Aug 2023, 7:05 am
The Securities and Exchange Commission today announced charges against Titan Global Capital Management USA LLC, a New York-based FinTech investment adviser, for using hypothetical performance metrics in advertisements that were misleading. [read post]
5 Nov 2021, 9:55 am
Gregory Lemelson and Massachusetts-based Lemelson Capital Management LLC were…Read the Full Press ReleaseHave a securities law question? [read post]
