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Cyalume Technologies Holdings, a producer of chemical lights for use by militaries, police and fire departments, raised $8.5 million in a private placement of convertible notes and warrants. Full Story
RAM Capital Resources is winding down two funds at the center of a $3.5 million lawsuit by three investors who allege among other things that fund managers Michael Fein and Stephen Saltzstein violated securities law by failing to obtain licenses to act as broker-dealers. Full Story
PIPE Equity Partners is suing Highmount Olympic Fund in a dispute over the valuation of an interest in a fund managed by beleaguered private placement investor NIR Group. Full Story
Hovde Securities is arranging a $60 million private placement of common stock, non-voting stock and warrants for First PacTrust Bancorp, the holding company for Pacific Trust Bank of Chula Vista, Calif. Full Story
The Securities and Exchange Commission awarded $1 million to a Southbury, Conn., couple for providing information and documents that forced hedge fund Pequot Capital Management and its ex-chief executive Arthur Samburg to pay $28 million to settle insider trading charges. Full Story
Hunter Wise Financial Group and American Capital Partners arranged a $3.3 million private placement of common stock and warrants for Buyonate, in connection with the Chinese consumer electronics retailer's reverse merger with China Electronic Holdings. Full Story
Bank of America Merrill Lynch arranged a $300 million private placement of convertible preferred shares for natural gas gathering and processing firm Copano Energy LLC. Full Story
The Financial Industry Regulatory Authority named Susan Axelrod as its executive vice president in charge of sales practice. Full Story
Placement agent Atlantic-Pacific Capital hired Mark Olexy, a former director in the alternative capital finance group at Lazard, as a principal in its New York office. Full Story
Roth Capital Partners is arranging a $3.9 million registered direct offering of common stock and warrants by PharmAthene, a developer of medical products to counter biological and chemical weapons. Full Story
Pick-Up Expected by Year-End
The PIPE market contracted in the second quarter. But the slow-down may pave the way for a revival in the fourth quarter as investors begin to see the recent selloff in equities as a buying opportunity, investment bankers say. Full Story
Upcoming Law to Transform Investment Adviser Oversight
Five years ago, when hedge fund managers fought the Securities and Exchange Commission's ill-fated effort to require hedge funds to register, one of their oft-repeated claims was that only Congress had the power to create such a regulation.
It took the near-collapse of Wall Street, but lawmakers appear to have heard the advisers' argument. Not to mention the constant cry of consumer and investor interest groups to regulate hedge funds. Full Story
Daryl Dworkin, a former hedge fund analyst who pled guilty to securities fraud, implicated the Long Island hedge fund NIR Group and its manager Corey Ribotsky in a scheme to mislead investors. Full Story
Convertible PIPE issuer Cobalis Corp. is suing hedge fund manager Yorkville Advisors for short selling stock in violation of anti-shorting provisions of a PIPE investment. But Yorkville says it sold Cobalis shares long and legally even though covering stock was not on hand at the time of sale. Full Story
- SEC Charges Penny Stock Promoter InvestSource With Fraud
- FINRA to Expand Information Available Through BrokerCheck
- First Merger, Aegis Capital Arrange $10M PIPE for CleanTech Innovations
- Rio Tinto in Dispute With Ivanhoe Mines Linked to PIPE, Dow Jones Says
- Cathaya Capital Investing $11M in ZAP to Finance Acquisition
- Africa Oil Raising $18.8M in Private Placement of Common Stock
- NCP Northland, Others Arranging $18.8M for St. Andrew Goldfields
- Raymond James Raising $3.8M in Registered Direct for Consulting Firm
- Hirings & Firings
