Tag Archives: Fund

Investment Adviser Charged With Stealing Millions From Private Fund

The Securities and Exchange Commission today revoked the registration of a Seattle area-based registered investment adviser and barred its principal from the securities industry for stealing money from a private fund the adviser managed. The remaining assets will be liquidated … Continue reading

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Local Fish Fund Offers Loans to Next Generation

In an effort to lower the barrier to entry in the fishing industry, to retire a “graying fleet” of vessels, and to attract a younger group of fishers into the industry, the Local Fish Fund has announced a new and … Continue reading

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Lorient Capital Closes Healthcare Fund With $122 Million

Lorient Capital Management announced the closing of the Lorient Healthcare Fund at its hard cap of $122 million. The fund will seek to invest $10-$25 million of equity capital into healthcare companies in the areas of physician practice management, post-acute care, behavioral health and … Continue reading

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Kestra Investment Services Assessed Regulatory Fine Over Mutual Fund Sales-Austin, TX

Rex Securities Law- Stockbroker Malpractice Attorney. Nationwide representation. February 2019 – Austin, Texas FINRA recently sanctioned Austin-based Kestra Investment Services (formerly NFP Advisor Services) for over charging more than 3,000 who qualified for waiver of front end sales fees on … Continue reading

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Blog Post: Behind The Scenes, #TimesUp Fund Gets To Work

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