Search for: "Capital Transaction Group Inc."
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7 May 2020, 10:23 am
CNL Healthcare Properties Inc. [read post]
13 Sep 2019, 1:01 pm
Specifically, Hightower allegedly failed to provide, among other things, a list of any customers he referred to the private securities transaction. [read post]
1 Mar 2007, 1:04 pm
Both brokers were registered with Prudential Securities Inc., now called Prudential Equity Group, during this time. [read post]
26 May 2023, 11:29 am
(CRD#:6312), LAND O’ LAKES, FL, B, 11/04/2010 – 04/10/2013, NEWPORT COAST SECURITIES, INC. [read post]
19 Aug 2010, 6:46 am
One of the four entities was Gottbetter Capital Group Inc., headed by New York lawyer Adam S. [read post]
2 Jan 2008, 5:40 am
However, others may soon follow, with Fitch Ratings saying it might cut ratings on both MBIA Inc. and Ambac Financial Group Inc. if they cannot raise new capital soon.These potential downgrades could lead to downgrades of the credit ratings on the municipal bonds theses insurers have insured below their original investment grade. [read post]
7 Jun 2023, 8:52 am
His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. [read post]
12 Jan 2019, 11:01 am
Additionally, in a separate merger agreement, Medley Management, Inc. [read post]
10 Jun 2011, 9:40 pm
Several other companies have had significant interactions with the Libyan Investment Authority, including Och-Ziff Capital Management Group, JP Morgan Chase, and Carlyle Group. [read post]
18 Mar 2014, 1:12 pm
Aninat Schwencke & Cia has a well balanced mix of local and foreign clients, among which some of its most representative include Aaktei, Aguas del Valle, Actis, Acon Investment Private Equity Fund, AGSA Construction, Amarant Mining, American Science and Engineering Inc, Alluvia Mining, American Bridge, Amundi, Asociación Nacional de Supermercados (ASACH), Athelera, Ariba, Austral Capital Private Equity Fund, Balfour Beatty Group, Banco Falabella, Big John, BHP… [read post]
22 Feb 2022, 9:02 am
The first is from the National Association Of Securities Dealers, Inc. [read post]
19 Jul 2022, 2:04 pm
Servs., Inc., 500 U.S. 90, 99 (1991). [read post]
13 Feb 2023, 7:28 am
According to Conwell, his first fund raised money from a diverse group of investors via Rule 506(c) of Regulation D and a social media campaign (Rule 506(c) allows for general solicitation in some instances). [read post]
10 Dec 2014, 6:02 am
On November 25, 2014, the Delaware Court of Chancery issued a decision in In Re Comverge, Inc. [read post]
20 Feb 2020, 8:44 am
The Fund, available exclusively by David Lerner Associates, Inc. [read post]
28 Oct 2014, 2:17 pm
(Contango) and Crimson Exploration, Inc. [read post]
29 Mar 2024, 6:00 am
Ian Katz of Capital Alpha Partners says regulators are keeping a watchful eye on the expanding connections between banks and the alternative asset management sector. [read post]
22 Jan 2021, 12:05 pm
Silver Law Group represents investors in securities and investment fraud cases. [read post]
6 Sep 2013, 12:15 pm
Morgan Jeff Pickett, Managing Partner, Connor Group 9:10–10:00am Panel 2: State of the Market for Mergers and Acquisitions MODERATOR Justin Hovey, Partner, Pillsbury SPEAKERS Dan Atler, CFO, Meraki Networks, a Cisco Company Lester Liu, Head of Corporate Development and M&A Execution, VISA Richard Perkins, Tax partner, M&A Transaction Services, Deloitte Tax LLP Drago Rajkovic, Managing Director, Head of Technology Mergers & Acquisitions, J.P. [read post]
28 Nov 2018, 9:15 am
According to Dietrich’s FINRA BrokerCheck report, he was a registered representative with Quest Capital Strategies, Inc. in Lake Forest, California from March 2013 until he was permitted to resign in April 2018 for “Failure to fully disclose outside business activities and sale of unapproved product. [read post]
