CAPITAL FORMATION ADVISERS LLC

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Unilife Investors Kept In The Dark (With Help From The SEC)

A week and a half ago I was reading through Unilife's (NASDAQ:UNIS) exhibits - specifically the loan agreement - filed with its 10-q to find the financial covenants, particularly the maintenance covenants. For the uninitiated (and pardon the simplification ...

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Seeking Alpha
May 27, 2014
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Connolly: Commuter rail will require creativity

According to a preliminary report recently released by The New Hampshire Department of Transportation and New Hampshire Rail Transit Authority, expanded passenger rail in New Hampshire could be the game-changer the New Hampshire economy needs. The full ...

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Nashua Telegraph
December 20, 2014
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SEC's EIA rule may resurface

“I've never seen a product where it is more critical for an adviser to know the product and to do the right thing for the client,” said Paul Puckett, principal and chief compliance officer of Beacon Wealth Advisors LLC in Virginia Beach, Va., which man ...

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Investment News
July 25, 2009
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RELM Wireless Appoints Ryan Levenson and Benjamin Rosenzweig to Board of Directors

Mr. Levenson is currently Principal and Managing Member of Privet Fund Management LLC, an investment firm, since its founding in February 2007. Mr. Levenson currently serves as a director and member of the Compensation, Organization and Corporate ...

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Market Watch
September 11, 2013
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Cybersecurity Agenda Released for SEC Roundtable

Previously announced in February, The Securities and Exchange Commission (SEC) today announced the agenda and panelists for this Wednesday’s (March 26, 2014) roundtable on the issues and challenges cybersecurity presents for market participants and ...

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crowdfundinsider.com
March 24, 2014
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RELM Wireless Appoints Ryan Levenson and Benjamin Rosenzweig to Board of Directors

WEST MELBOURNE, Fla., Sept. 11, 2013 /PRNewswire/ -- RELM Wireless Corporation (NYSE MKT: RWC) today announced that, after discussions with representatives of Privet Fund LP, the Company's Board of Directors (the "Board") has voted to expand the Board to ...

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The Business Journal
September 11, 2013
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Highline Research Advisors Initiates on Mast Therapeutics with a Buy Rating

SAN FRANCISCO - November 19, 2014 - Highline Research Advisors, LLC, a Merriman Capital, Inc. Financial Entrepreneur Platform participant announced today that research analyst Michael Higgins has initiated equity research coverage of Mast Therapeutics ...

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Yahoo Finance
November 19, 2014
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SEC mulls raising trading increments for small caps

The Securities and Exchange Commission thought it settled this debate in 2001, when it ruled that stock prices should move in penny increments, ending a practice of quoting stocks in fractions. But under the JOBS Act passed earlier this year, regulators ...

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Reuters
July 6, 2012
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Cognitio Corp enters into a strategic alliance with Indian River Advisors, LLC

USB GPS dongles have come down significantly in price in recent years and I picked one up to play with recently. Apart from using a GPS module to report your latitude, longitude, altitude and time for mapping applications, it’s also possible to feed the ...

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SYS-CON Media
June 17, 2015
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SAC Accepts Plea Deal That Ends Run As Hedge Fund

SAC Capital Advisors, one of the largest and most successful hedge funds in history, has agreed to plead guilty to insider-trading charges that will put it out of the hedge fund business. The Stamford, Conn.-based firm will cease to operate as an ...

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FIN Alternatives
November 4, 2013
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Another View -- Mark Connolly: NH business must get behind passenger rail

ACCORDING to a preliminary report released recently by the New Hampshire Department of Transportation and New Hampshire Rail Transit Authority, expanded passenger rail in the Granite State could be the boost our economy needs. The full report is expected ...

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Union Leader
December 3, 2014
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How the Best Value Investors are Navigating the EU Crisis

I read this article and found it very interesting, thought you would enjoy. The article is called How the Best Value Investors are Navigating the EU Crisis and is located at http://www.valuewalk.com/2012/10/how-the-best-value-investors-are-navigating-the ...

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Value Walk
October 16, 2012
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It's Easy To Vilify ETFs When You're Loose With The Facts

I received a call from a highly respected ETF journalist last month wanting me to comment on the relationship between ETFs and the flash crash which occurred earlier this year on May 6. At the time, I had not yet seen the Ewing Marion Kauffman ...

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Forbes
December 9, 2010
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Another View -- Mark Connolly: NH business must get behind passenger rail

ACCORDING to a preliminary report released recently by the New Hampshire Department of Transportation and New Hampshire Rail Transit Authority, expanded passenger rail in the Granite State could be the boost our economy needs. The full report is expected ...

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Union Leader
December 3, 2014
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Form 4 LIONBRIDGE TECHNOLOGIES For: Nov 25 Filed by: GLENHILL CAPITAL MANAGEMENT LLC

1. Of the total securities reported in this Form 4, following the reported transactions Glenn J. Krevlin directly owns 201,854 shares, Glenhill Capital Overseas Master Fund, LP directly owns 5,378,247 shares, Glenhill Concentrated Long Master Fund, LLC ...

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StreetInsider
November 28, 2014
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Get Ready For A 'Substituted Compliance' Regime

INT’L L.J. 31 (2007). Ex-Director Tafara’s article argued for an international financial regulatory regime of mutual recognition, or substituted compliance. Controversially, substituted compliance met with little political fanfare from the commission.

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Law 360
May 8, 2013
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Lane W. Wiggers

Mr. Lane W. Wiggers serves as Operating Partner of Argosy Capital. Mr. Wiggers served as Vice President of Julip Run Capital, LLC. He served as Managing Partner at CS Capital Partners. He served as Executive Officer of Cooper Industries plc. He was ...

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Bloomberg
November 20, 2015
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This Week In Securities Litigation

The DOJ reiterated its Yates policy this week under which cooperation credit is conditioned on furnishing the Department with the identity of individuals involved in corporate wrongdoing. Officials also noted that part of cooperation involves furnishing ...

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jdsupra.com
November 20, 2015
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Insight Venture Partners Names Donna O. Smolens as Senior Advisor

NEW YORK, Sept. 22, 2015 /PRNewswire/ -- Insight Venture Partners, a leading global private equity and venture capital firm, today named Donna Smolens as a Senior Advisor. Smolens will work with Insight to enhance the firm's investor relations function ...

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prnewswire.com
September 22, 2015
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SEC Commissioners Address Recent Commission Orders Against CCOs

On August 10, 2015, SEC Commissioner Luis Aguilar released a public statement concerning “the critical importance of clarity in Commission Orders for enforcement actions.” Commissioner Aguilar stated that the Commission and its staff “should always ...

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NATIONAL LAW REVIEW
September 17, 2015
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Northern Lights buys stake in Buick Capital, which will be renamed Northern Lights Alternative Advisors, LLP

Opalesque Industry Update, for New Managers - Northern Lights Capital Group, LLC, a provider of strategic capital and resources to boutique asset management firms, has made an investment in Buick Capital Partners, LLP. Buick is an independent, London-based ...

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Opalesque Hedge Fund News
May 12, 2014
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Why Did America Have A 90% Income Tax Under Eisenhower?

Michael Hudson is interviewed on the Real News Network. He reviews the reasoning behind income tax policy in the 20th century, a good lesson in financial history. Interestingly, he says that data show tax cuts have been followed by slow growth in the US ...

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Credit Writedowns
January 5, 2011
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Prominent Finance Executives Back Merriman Holdings, Inc.

Marshall Geller, who joined the advisory board in September 2014, is a Co-Founder and Managing Partner of St. Cloud Capital, LLC, a Los Angeles-based private investment firm focused on providing growth capital to companies who fall below the Wall Street ...

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Market Watch
May 14, 2015
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Attendance Builds for Texas Seniors Housing Summit - October 8, Dallas

DALLAS ... Housing Development, Financing & Investment: Analysis of the Operational Complexities of the Myriad of Assets, including: Market-Rate Apartments, Assisted Living, Memory Care and Skilled Nursing. Hear from the most active national and Texas ...

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The Business Journal
September 26, 2014
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Hardinge and Privet Reach Agreement on Board Composition

Ben Rosenzweig is a Partner at Privet Fund Management LLC. Prior to joining Privet in September 2008, Mr. Rosenzweig served as an investment banking analyst in the Corporate Finance group of Alvarez and Marsal, where he completed multiple distressed ...

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GlobeNewswire
October 15, 2015
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GSV Asset Management and Gentry Financial Group Announce the Launch of GSV Financial Group

CHICAGO--(BUSINESS WIRE)--GSV Asset Management and Gentry Financial Group today announce the launch of GSV Financial Group, which will operate four principal businesses previously managed under the Gentry brand: As part of the transition, Gentry Financial ...

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Business Wire
September 11, 2014
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