Search for: "Capital Industries, Inc."
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3 Nov 2020, 1:05 pm
Griffin Capital Essential Asset REIT, Inc. [read post]
14 Jul 2022, 8:58 am
On March 21, 2022, the Financial Industry Regulatory Authority (FINRA) ordered Dempsey Lord Smith, LLC (“Dempsey Lord Smith”) to pay nearly $100,000 in monetary fines and restitution for negligently omitting to tell four investors in an offering related to GPB Capital Holdings, LLC (“GPB Capital”) that the issuer failed to timely make required filings with the Securities and Exchange Commission (“SEC”), including filing audited financial… [read post]
12 Oct 2018, 12:23 pm
He has been in the industry since 1991. [read post]
17 Mar 2017, 6:56 am
Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
22 Aug 2016, 5:00 am
By John Filar AtwoodThe SEC has issued an order approving a new set of rules drafted by the Financial Industry Regulatory Authority, Inc. [read post]
6 Sep 2019, 7:08 am
In the Matter of Kalos Capital, Inc. and Darren Michael Kubiak, Respondents (FINRA AWC 2016048196801) https://www.finra.org/sites/default/files/fda_documents/2016048196801%20Kalos%20Capital%2C%20Inc.%20CRD%2044337%20Darren%20Michael%20Kubiak%20CRD%201239086%20%20AWC%20va.pdfFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior… [read post]
29 Jul 2021, 3:08 pm
Kuta was registered with Capitol Securities Management, Inc. [read post]
4 Jul 2011, 10:12 am
., was filed against Desert Capital REIT, Inc. with the United States Bankruptcy Court for the District of Nevada, Las Vegas Division. [read post]
28 Dec 2020, 1:24 pm
(CRD#:44848) of Fort Lauderdale FL, and Quest Capital Strategies, Inc. [read post]
28 Jun 2018, 1:52 pm
He has been in the industry since 2006. [read post]
29 Nov 2011, 9:42 am
The Financial Industry Regulatory Authority has ordered another 10 individuals and 8 financial firms to pay $3.2M in restitution to clients who were sold interest in risky private placements that were issued by DBSI, Inc., Medical Capital Holdings, Inc., and Provident Royalties, LLC. [read post]
8 Aug 2022, 11:39 am
This comes after the company completed a stock-for-stock merger transaction with Cole Office & Industrial REIT Inc. [read post]
12 Sep 2016, 7:11 am
Altamont Capital Partners has announced it sold Modern Healthcare, Inc., to The Kroger Co. [read post]
10 Feb 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
4 Dec 2019, 3:39 pm
Investors in New York City REIT Inc., formerly known as American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the broker or financial advisor. [read post]
5 Aug 2019, 7:56 am
About Navigant Navigant Consulting, Inc. [read post]
21 Mar 2016, 8:54 am
According to public disclosures, brokerage firms that sell Bradford oil and gas interests include Centarus Financial Inc., Commonwealth Financial Network, Sigma Financial Corporation, Sammons Securities, Madison Avenue Securities, Inc, M Financial Holdings Securities, Inc., Lincoln Investment Planning, Berthel Fsher & Company Financial Services Inc., Kalos Capital, Inc., G.F. [read post]
22 Dec 2009, 9:37 am
Pacific Cornerstone Capital, Inc. of Irvine, California, and it's CEO were fined a total of $750,000 by the Financial Industry Regulatory Authority (FINRA) for making false and misleading statements to purchasers of Cornerstone Industrial Properties LLC and CIP Leveraged Fund Advisors LLC. [read post]
31 Mar 2019, 6:18 am
” Then it was reported that the Financial Industry Regulatory Authority Inc. [read post]
5 Apr 2022, 7:25 am
His previous employers include Joseph Stone Capital (CRD#: 159744), First Midwest Securities, Inc. [read post]
