Search for: "providence capital holdings"
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30 Sep 2020, 9:54 am
Companies that issue unlisted securities may provide little or no transparency into their ongoing operations and financial condition. [read post]
23 Oct 2017, 11:09 am
As part of the Criminal Justice Act, Congress has provided in 18 U.S.C. [read post]
18 Dec 2010, 10:14 am
The Capital Markets subcommittee also has oversight of all matters related to capital markets activities such as business capital formation and venture capital, and derivative instruments.While there will be a number of very important issues on the subcommittee’s plate during the 112th Congress, said Rep. [read post]
1 Jun 2012, 2:55 pm
The final rule includes capital and financial condition requirements and specifies other information necessary for registration. [read post]
25 Mar 2008, 5:15 am
On Tuesday, March 11, the holding company liquidity pool declined from $18.1 billion to $11.5 billion. [read post]
8 Mar 2022, 3:39 pm
Given the opportunities to profit from engagement with China, Milton Friedman’s fifty-year old essay provides a clear answer – engage! [read post]
10 Apr 2015, 8:10 am
District Court for the Southern District of New York granted in part and denied in part Morgan Stanley Mortgage Capital Holdings LLC’s (“MSMC”) motion to dismiss breach of contract and breach of the covenant of good faith and fair dealing claims brought by Deutsche Bank National Trust Company (“Deutsche Bank”), in its capacity as Trustee for the Morgan Stanley Structured Trust I 2007-1. [read post]
12 Jul 2019, 2:02 pm
GPB’s Private Placements GPB Capital Holdings buys companies like auto dealerships with the money it raises by having financial advisers sell “private placements” to investors. [read post]
12 Jul 2010, 8:05 am
At least 10 other firms that sold private placements in Provident Royalties, as well as in Medical Capital Holdings, have shuttered recently because of net-capital issues. [read post]
15 Oct 2013, 8:01 am
Under the rules governing federal criminal proceedings, a defendant who wants to introduce expert testimony “relating to a mental disease or defect or any other mental condition” relating to guilt or capital punishment must provide the court with notice. [read post]
29 Jun 2021, 1:50 pm
Onna has raised $43M from investors, including Atomico, Dawn Capital, Dropbox, and Slack Fund. [read post]
23 Jul 2018, 6:00 am
A&J Capital, Inc. v. [read post]
18 Sep 2007, 1:33 pm
This is not a vote in favor of capital investment in a clunky new IT system (with software licensing and all the trimmings) for litigation hold management. [read post]
21 Jun 2010, 5:00 am
Wikipedia provides a nice overview, but lacks much in the way of a definition for regulators. [read post]
11 Sep 2020, 7:02 am
23 Restaurant Holdings, LLC, , Securities Investigation The White Law Group is investigating potential securities claims involving broker-dealers who may have unsuitably recommended 23 Restaurant Holdings, LLC to investors. 23 Restaurant Holdings, LLC reportedly filed a form D to raise capital from investors in 2019 in a restaurant investment. [read post]
10 Sep 2020, 6:27 am
Eureka Restaurant Holdings, LLC reportedly filed a form D to raise capital from investors in 2015 in a restaurant investment. [read post]
25 May 2011, 8:05 am
In 2009, the Securities and Exchange Commission (SEC) charged both Provident Royalties and Medical Capital Holdings with fraud. [read post]
20 Jan 2012, 3:34 pm
Under the August 2011 order, a venture capital fund manager was exempt from investment adviser registration with the Indiana Securities Division if: (1) it maintains a place of business in Indiana, (2) during the preceding twelve months, it had no more than 5 clients that are residents of Indiana, (3) it does not hold itself out generally to the public as an investment adviser, and (4) it met the federal venture capital exemption from registration with the SEC. [read post]
13 Nov 2015, 4:59 pm
The Vanguard Group and certain affiliates have filed suit against Vereit, Vereit Operating Partnership, AR Capital, ARC Properties Advisers, RCAP Holdings, RCS Capital Corporation and five former company executives. [read post]
29 Aug 2018, 6:06 pm
It is quite possible that courts will from time-to-time face fact patterns where the agency costs of agency capitalism make it clear that the premise does not hold. [read post]
