Search for: "Fine Capital Associates, L.P."
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26 Feb 2021, 7:07 am
FINRA also fined Mr. [read post]
22 Feb 2022, 9:02 am
Peters”) is a currently registered broker and investment advisor employed at Alexander Capital, L.P. [read post]
21 Jun 2022, 11:48 am
(CRD#:38095), also of Red Bank, NJ, Alexander Capital, L.P. [read post]
31 Mar 2010, 11:43 am
James William Geis of Mission Viejo, California, formerly with Crown Capital Securities, L.P. [read post]
31 Mar 2010, 12:43 pm
James William Geis of Mission Viejo, California, formerly with Crown Capital Securities, L.P. [read post]
15 Apr 2014, 7:01 am
Enter Meyers Associates, L.P. [read post]
16 Feb 2015, 11:12 am
The Merger Seven Pines Associates L.P. owns a 305-unit apartment building in Yonkers, New York. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
18 Aug 2019, 8:07 am
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, and/or Fined by FINRAWindsor Street Capital, LP fka Meyers Associates, L.P. [read post]
9 Apr 2017, 12:35 pm
Deremo was fined of $5,000, suspended from association with any FINRA member in any capacity for 10 business days and ordered to pay $4,917.96, plus interest, in partial restitution to a customer. [read post]
31 Oct 2018, 2:20 pm
Bank National Association ("U.S. [read post]
9 Nov 2017, 6:31 am
Interstate 35/Chisam Rd., L.P. [read post]
13 Jan 2011, 11:45 pm
Although most of the Chinese companies that Kelley and his associates brought to the United States saw brief spikes in their share prices, nearly all have become long-term losers. [read post]
31 Dec 2017, 5:12 pm
Portfolio Recovery Associates: Debt Buyer nixes FDCPA violation claim with deemed admissions that contradict the debtor's essential allegations regarding the violation deemed-admissions, FDCPA, Portfolio-Recovery-Associates, TDCA – posted 11/17/17The latest consumer advocate: Georgia Lawsuit Mill Operator Transworld Systems Inc. [read post]
17 Sep 2014, 10:30 am
Association of Maryland Pilots 13-1268Issue: Whether, when applying the Chandris, Inc. v. [read post]
28 Jul 2013, 8:57 am
As the workforce becomes more and more aware of the differences between true independent contractors and employees under the FLSA—the latter entitled to minimum wages and overtime premiums under the FLSA—courts continue to address this factually intensive issue in a variety of industries. [read post]
2 Jan 2024, 12:56 pm
The directors’ and officers’ liability environment is always changing, but 2023 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
