Nov 28, 2017 ... U.S. Securities and Exchange Commission ... In the Matter of Quantek Asset Management, LLC, et al. Admin. Proc. File No. 3-14893. On May 29, 2012, the Commission instituted and simultaneously settled administrative ... antifraud, compliance, and recordkeeping provisions of the federal securities laws.
Mar 19, 2013 ... Litigation Release No. 22650 / March 19, 2013. Securities and Exchange Commission v. Sigma Capital Management, LLC et al., Civil Action ...
Sep 9, 2013 ... 22793 / September 9, 2013. Securities and Exchange Commission v. Projaris Management, LLC et al, Civil Action No. 1:13-cv-00849 (D.N.M.).
Aug 22, 2017 ... The Securities and Exchange Commission (“Commission”) deems it appropriate ... and except as provided herein in Section V, Respondents consent ... Vertical Capital Asset Management, LLC (“VCAM”) is a California limited.
Plaintiff Securities and Exchange Commission (“Commission”), for its Complaint against defendants Northshore Asset Management, LLC (“Northshore”), Ardent .... purchased all the partnership interests in SCM, the General Partner of Ardent Domestic .... Funds and which Northshore diverted for its own uses; (v) immediately ...
Mar 26, 2014 ... Advanced Financial Services, Larry W. Tyler, et al. ... et al. Ashbury Capital Partners, L.P., Ashbury Capital Management, L.L.C., and Mark Yagalla B ... Bernard L. Madoff Investment Securities LLC .... Northshore Asset Management LLP, et al. ... Capital Markets L.L.C. et al. V Veras Capital Master Fund, et al.
May 4, 2007 ... 1 The Securities and Exchange Commission, as a matter of policy, disclaims ... SEC v. Collins & Aikman Corporation, David A. Stockman, J. Michael Stepp, ...... Northshore Asset Management et al. .... In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. ....................92.