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14 Jan 2021, 8:43 am
Former Aegis Advisor Steven Luftschein (Steven Lerner) Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Aegis Capital Corp. advisor Steven Robert Luftschein (also known as Steven Lerner), after allegations that he churned and excessively traded the accounts of three of his customers. [read post]
11 Oct 2018, 5:03 pm
Schmidt previously worked for several other financial firms, including First Union Securities, PaineWebber Incorporated, and Prudential-Bache Securities. [read post]
5 Oct 2018, 8:37 am
Supreme Court ruled in Epic Systems Corp. v. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources… [read post]
12 Jan 2023, 3:54 pm
At first this bankruptcy case was proceeding like any other. [read post]
28 Dec 2018, 6:24 am
According to BrokerCheck records financial advisor Thomas Kelly (Kelly), currently employed by Aegis Capital Corp. [read post]
27 Jul 2020, 11:20 am
(ROSE) (formerly known as KLR Energy Acquisition Corp.) [read post]
12 Jul 2011, 2:48 pm
Assured Guaranty Municipal Corp. v. [read post]
1 Dec 2010, 6:00 am
Corp. [read post]
26 Feb 2007, 3:36 pm
GS Capital Partners, Lehman Brothers, Citigroup and Morgan Stanley intend to be equity investors at closing. [read post]
12 Jun 2018, 8:51 am
Certain maturities of the bonds have the benefit of bond insurance provided by Assured Guaranty Municipal Corp. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
13 Jun 2010, 3:12 pm
Doctors, dentists and others who have established S corps to "launder" their services income so that they can avoid payroll taxation on the full amount will view this as a 15% tax increase--the 12.4% Social Security tax on approximately the first $108,000 and the 2.9% medicare tax on the full amount. [read post]
27 Apr 2020, 7:38 am
MCC and MDLY are parties to a proposed merger with Sierra Income Corp. first announced in August 2018, and amended in July 2019. [read post]
9 Jul 2010, 3:38 pm
He claimed that as Forrest’s principals, Associated Securities Corp., Associated Financial Group Inc., and Associated Planners Investment Advisory Inc. should be held liable. [read post]
28 Jun 2018, 11:49 am
., Cherokee Investment Partners LLC, Ecosystem Investment Partners LLC, Elm Partners Management LLC, HEP Management Corp., Prescott General Partners LLC, RLJ Equity Partners LLC, Rose Park Advisors LLC, and Veteri Place Corp. [read post]
22 May 2017, 8:05 am
If you suffered losses investing in First Capital Investment Corp BDC and would like to discuss your litigation options, please call the securities attorneys of The White Law Group at 888.637.5510 for a free consultation. [read post]
4 May 2021, 1:08 pm
-style private investments in public equity (“PIPEs“) increases. [read post]
29 Sep 2015, 2:30 pm
Gathright, chief financial officer Michael S. [read post]
31 Mar 2018, 10:42 am
Gomez was registered with these firms: Hunter Scott Financial (FINRA expelled the firm in 2014) Hallmark Investments (FINRA expelled the firm in 2017) Garden State Securities Brookstreet Securities Corp Meyers Associates World Equity Group Clark Dodge & Co. [read post]
