VERTICAL CAPITAL, LLC

Asset Manager

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Broker-dealer fined by SEC for acting in dual, conflicting roles in connection with CDO liquidations

According to the SEC, while conducting these auctions as liquidation agent for various CDO trustees, VCAP and Mr. Graham secretly arranged for a third-party broker-dealer to bid for the auctioned CDOs in order to purchase them for Vertical Capital ...

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Lexology
February 21, 2015
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Fitch Withdraws Ratings for 7 Classes of TORO ABS CDO II, LTD./LLC

The initial portfolio was selected by Merrill Lynch Investment Managers (MLIM) and is currently managed by Vertical Capital LLC. Additional information is available at 'www.fitchratings.com'. Applicable Criteria and Related Research: --'Global Structured ...

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Yahoo Finance
September 8, 2014
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This Week In Securities Litigation

A parallel criminal action was filed. See Lit. Rel. No 23301 (Feb. 19, 2015). Fraudulent registration: In the Matter of Logical Wealth Management, Inc., Adm. Proc. File No. 3-16390 (Feb 19, 2015) is a proceeding with names as Respondents the registered ...

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jdsupra.com
February 20, 2015
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Brett D. C. Graham

Mr. Brett D. C. Graham serves as Managing Director of Legal and Compliance at Morgan Stanley. Mr. Graham founded Vertical Capital, LLC in 2002 and serves as its Managing Partner. Previously, he was employed at Bear, Stearns & Co. Inc. He served as a ...

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Bloomberg
July 30, 2015
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Fitch Withdraws Ratings for 7 Classes of TORO ABS CDO II, LTD./LLC

Toro II is a collateralized debt obligation (CDO) that closed on April 27, 2006. The initial portfolio was selected by Merrill Lynch Investment Managers (MLIM) and is currently managed by Vertical Capital LLC.

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Reuters
September 8, 2014
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AML; Block Trades; EFRPs; Conflicts; Insider Trading - Bridging the Week: February 16 to 20 and 23, 2015 [VIDEO]

According to the SEC, while conducting these auctions as liquidation agent for various CDO trustees, VCAP and Mr. Graham secretly arranged for a third-party broker-dealer to bid for the auctioned CDOs in order to purchase them for Vertical Capital ...

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NATIONAL LAW REVIEW
February 22, 2015
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Broker, Exec Pay $1.5M To SEC Over Alleged CDO Bid-Rigging

According to the SEC, the company manipulated its position to benefit Vertical Capital LLC, an affiliated investment adviser that invested in mortgage bonds. Under liquidation agent agreements for the five auctions, VCAP and its affiliates were barred from ...

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Law 360
February 19, 2015
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MBIA Ready to Manage First CRE CDO

MBIA Capital Management Corp looks set to replace Vertical Capital, LLC as asset manager for Vertical CRE CDO 2006-1 Ltd. Like what you see? Click here to sign up for a Structured Finance News free trial and daily newsletter to get the latest commentary ...

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Structured Finance News Asset Securitization Report
August 12, 2009
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Moody's: Toro ABS CDO II, Ltd. ratings unaffected by Appointment of Successor Collateral Manager

New York, October 22, 2012 -- Moody's Investors Service has determined that the appointment of Vertical Capital, LLC as successor Collateral Manager to Toro ABS CDO II, Ltd. (the "Issuer") under the provisions of an amended and restated Collateral ...

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Finanzen
October 22, 2012
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Five Oaks Investment Corp.

He is on the Board of Directors at Five Oaks Investment Corp. and MAX Exchange Investors LLC. Mr. Pearce was previously employed as Co-Founder & Managing Partner by Vertical Capital LLC, Co-Founder & Chief Executive Officer by Peachtree Financial Solutions ...

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Market Watch
July 17, 2015
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Sending in the Reinforcements: Bear Stearns Brings in Marano

"He's one of the most experienced and savvy mortgage credit-risk managers on the Street,'' said Thomas Pearce, who worked with Marano for 11 years and now is a managing partner at Vertical Capital LLC, a New York-based firm that manages collateralized debt ...

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Housing Wire
June 26, 2007
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Fitch Takes Various Actions on E*Trade ABS CDO I, Ltd.

26, 2002. The portfolio was initially selected by E*TRADE Global Asset Management, Inc. and is now monitored by Vertical Capital, LLC. The portfolio is primarily comprised of residential mortgage-backed securities (58.9%), CDOs (20.5%), commercial mortgage ...

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Business Wire
February 16, 2010
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Kleros Pref Fund Ltd (IRSH)

To: The Parties listed on Schedule A hereto. Reference is made to that certain Indenture dated as of June 3, 2005 (the "Indenture") among Kleros Preferred Funding, Ltd., as Issuer, Kleros Preferred Funding, LLC, as Co-Issuer, and Wells Fargo ...

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FE Trustnet
March 3, 2015
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CDO With Name of St. Tropez Beach Melted In 228 Days With S&P’s Top Mark

The Pampelonne CDO II, underwritten by Barclays Plc, is one of dozens of deals listed in the Justice Department’s February 4th lawsuit against Standard & Poor’s that received the company’s highest AAA grade. The U.S. is accusing the world’s largest ...

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Here Is The City
February 12, 2013
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Taiwanese CBO hit by Westways downgrade

Fitch Ratings has downgraded the ratings of the Class C bond issued by E. Sun Bank 2007-2 CBO from triple-B to single-B minus and kept it on rating watch negative (RWN). The move reflects the rating action taken by Fitch on 25 September when the income ...

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SCI Structured Cred Itinvestor
October 2, 2007
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Citigroup Lost $15 Million With UBS’s ‘Crap’ CDO Blessed by S&P

Vertical Capital LLC, a New York-based CDO manager that oversaw more than $10 billion at the time, chose and supervised the assets “leveraging on the experience of its investment officers in the U.S. structured finance market,” according to the January ...

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Bloomberg
February 12, 2013
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