Search for: "Feltl and Company, Inc."
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2 Dec 2011, 9:54 am
The Securities and Exchange Commission (SEC) announced the settlement of separate complaints related to compliance failures by Feltl & Company, Inc. [read post]
29 Nov 2011, 9:03 am
Written by Jay Gould On November 28, 2011, the SEC charged OMNI Investment Advisors, Inc. of Utah, Feltl & Company Inc. of Minneapolis and Asset Advisors LLC of Troy, Michigan for failing to adopt and implement compliance procedures designed to prevent securities law violations. [read post]
4 Jun 2018, 1:55 pm
The lead underwriters were Aegis Capital Group and Feltl & Company, Inc. [read post]
19 Nov 2015, 9:01 am
Presently, Wynne is associated with Feltl & Company out of the firm’s Minneapolis, Minnesota branch office location. [read post]
29 Nov 2011, 5:44 am
Sources: SEC Order: Asset Advisors, LLC SEC Order: Feltl & Company, Inc. [read post]
4 Aug 2016, 8:32 am
Feltl & Company of Minneapolis, Minnesota submitted an AWC in which the firm was censured and fined $250,000. [read post]