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Business Development Companies (or BDCs)

Tag Archives: Smith Barney

05
Aug

Business Development Companies (or BDCs)

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Business Development Companies (or BDCs)

Business Development Companies (or BDCs)   Business Development Companies (BDCs) have become increasingly popular investments over the last few years.  BDCs are similar to closed end mutual funds, in which an investor can invest in a number of companies at once.  The main difference between a mutual fund and a BDC is that BDCs generally ...

03
Aug

Ex-Sonics Trainer from Redmond Sentenced to Prison Term

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Ex-Sonics Trainer from Redmond Sentenced to Prison Term   Stephen B. Gordon, from Renton, was sentenced on July 30, 2015 for running a $4 million Ponzi Scheme.  According to an article by KOMO News, Gordon was sentenced to four years in prison for his involvement in running this scheme.  The U.S. Attorney’s office for the ...

04
Jun

SEC CONCLUDES CASE AGAINST FORMER SEATTLE INVESTMENT ADVISOR

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SEC Concludes Case Against Former Seattle Investment Advisor   The Securities and Exchange Commission (SEC) has recently finished its case against Mark F. Spangler, a former investment adviser from Seattle, and his company The Spangler Group, Inc.  The SEC reported that a final judgment was entered by the U.S. District Court for the Western District ...

21
May

FORMER SEATTLE INVESTMENT ADVISOR PLEADS GUILTY TO FRAUD

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Former Seattle Investment Advisor Pleads Guilty to Fraud Satyen Chatterjee, a former investment advisor from Seattle, recently pled guilty to wire fraud. According to the Sky Valley Chronicle and Seattle Times, Chatterjee pled guilty in the U.S. District Court in Seattle. Chatterjee owned and operated an investment advisory firm called Strategic Capital Management, Inc. It ...

18
May

SECURITIES AND INVESTMENT FRAUD ON THE EASTSIDE

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Securities and Investment Fraud on the Eastside   As most locals already know, the Eastside is a collective term for eastern suburbs of Seattle.  It is a great place to live with many amenities to offer local residents.  However, like many other areas of the country, the Eastside has also been hit with securities and ...

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