Search for: "Capital Quest Securities"
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6 Feb 2019, 7:30 am
For this reason, my Administration recognized the true capital of Israel -- and proudly opened the American Embassy in Jerusalem. [read post]
23 Dec 2019, 1:40 pm
Morgan Securities LLC Chase Investment Services Corp Mostert, John Quest Capital Strategies, Inc. [read post]
11 Jan 2012, 10:11 am
Rick Perry criticizes Romney and Bain pushing the quest for profits too far. [read post]
16 Jul 2015, 4:00 pm
GoodKristin Synder, Securities and Exchange Commission Frank Martin, Standard Pacific Capital, LLC Michelle Young, Ohana Advisors Sponsors Pillsbury 100 Women in Hedge Funds [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 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 Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp… [read post]
6 Dec 2018, 11:55 am
Quest Capital Strategies reportedly did not know that Dietrich was selling the Woodbridge notes to its customers. [read post]
21 May 2020, 7:12 am
Mostert, John Quest Capital Strategies, Inc Intersecurities, Inc. [read post]
2 Jan 2013, 6:00 am
In my ongoing quest to find the line between what’s a security and what’s not, I spent a few minutes looking at the decision. [read post]
14 Mar 2024, 6:06 am
While the situation remained relatively stable from 1994 to 2020, Azerbaijan’s authoritarian regime found purpose in its decades-long quest to reconquer the territory, fomenting anti-Armenian resentment while building up its military capabilities. [read post]
31 Jan 2024, 9:01 pm
In 2023, the Second Circuit was called upon — yet again — to adjudicate the plaintiffs’ multiyear quest for class certification in Arkansas Teacher Retirement System v. [read post]
7 Jun 2019, 6:09 am
Securities & Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation The Past and Present of Mutual Fund Fee Regulation Posted by Quinn Curtis (University of Virginia), on Thursday, June 6, 2019 Tags: Asset management, Fiduciary duties, Fund litigation, Fund… [read post]
17 Apr 2019, 5:38 am
Finra awarded one investor $276K against Quest Capital Strategies for failing to properly supervise Dietrich. [read post]
8 May 2018, 8:35 am
They are also including Quest IRA, a third-party administrator that Jamison and Parris used to allegedly divert a portion of the couple’s retirement assets and invest the proceeds in two unregistered promissory notes issued by United RL Capital Services, according to the lawsuit. [read post]
22 May 2023, 7:00 am
To receive information from Liskow & Lewis, your information will be kept in a secured contact database. [read post]
27 Oct 2014, 12:55 pm
Defendant Quest is accused of supplying the carburetor and choke cleaning product. [read post]
26 Feb 2015, 6:39 am
Between May 2008 and September 2008, despite the customer’s objective to preserve capital, FINRA found that Campbell recommended the customer invest in three speculative securities including Oilsands Quest, Inc., Homeland Energy Group and Cline Mining Corp. resulting in a concentration of between 41% and 89% of the customer’s account value. [read post]
15 Aug 2012, 2:52 pm
Businesses can secure trademarks just by using their names; registration isn’t always necessary. [read post]
22 Sep 2011, 11:40 am
Just about all hedge funds, real estate investment partnerships, private equity funds, and venture capital funds in the U.S. are structured as partnerships for tax purposes. [read post]
9 Feb 2023, 8:34 am
On a literal reading of subsection 471(3), therefore, the fact that Mr Noble was a director of VHL meant that the 2007 Option was an employment-related securities option; meaning that the payment received on exercise would be subject to income tax and NICs (rather than capital gains tax). [read post]
24 Jun 2011, 1:31 am
Carlyle Capital Corp.: On June 21, 2011, a plaintiff filed a securities class action complaint in the U.S. [read post]
