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FINRA Fines Rodman & Renshaw for Interactions between Research and Investment Banking
22 Aug 2012, 1:27 pm by Securites Lawprof
FINRA announced that it fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm's research and investment banking functions. [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
FINRA fines Rodman & Renshaw
31 Aug 2012, 6:37 am by D. Daxton White
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA fines Rodman & Renshaw
31 Aug 2012, 6:37 am by D. Daxton White
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA fines Rodman & Renshaw
31 Aug 2012, 6:37 am by D. Daxton White
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Rodman & Renshaw LLC $315,000 for supervisory and other violations related to the interaction between the firm’s research and investment banking functions. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities Roundup: FINRA Fines Rodman & Renshaw $315K, Convictions Reached in $1B High Yield Fraud Scam Involving FBI, SEC Sues Wwebnet over $2.1M Fraud, and Ex-Hedge Fund Manager Settles Unsuitable Investment Recommendation Allegations for Over $421
11 Sep 2012, 6:23 pm
To settle Financial Industry Regulatory Authority allegations that it committed numerous violations involving dealings between investment banking and research functions, Rodman & Renshaw LLC has agreed to pay a $315,000 fine. [read post]
Stock Broker Fraud Blog - http://www.stockbrokerfraudblog.com/
Analyst Lists Five Biotech Companies to Watch
11 Sep 2009, 9:59 pm
Simos Simeonidis, a Senior Biotechnology Analyst for Rodman & Renshaw, LLC, provided FierceBiotech with a list of five biotech companies to watch in the coming months ("Five Biotech Companies to Watch"). [read post]
Patent Docs - http://www.patentdocs.org/
FINRA Reminds World about Global Research Settlement
6 Sep 2012, 9:31 pm by David Smyth
  Singh was a metals and mining-focused research analyst at Rodman & Renshaw, LLC from 2009 to 2011. [read post]
Cady Bar the Door - http://www.secmiscellany.com
FINRA Reminds World about Global Research Settlement
6 Sep 2012, 9:31 pm by David Smyth
  Singh was a metals and mining-focused research analyst at Rodman & Renshaw, LLC from 2009 to 2011. [read post]
Cady Bar the Door - http://www.secmiscellany.com
Chinese coal company's share placement produces interesting collection of investors
13 Sep 2010, 1:04 am by Chris Carey
Two investment banking firms, Rodman & Renshaw LLC and Madison Williams and Co., placed the shares for SinoCoking. [read post]
Sharesleuth.com - http://sharesleuth.com/
The SEC and Small Capital Formation: The Advisory Committee on Small and Emerging Companies (Part 1)
17 Feb 2012, 5:00 am by J Robert Brown Jr.
Borer III, Senior Managing Director and Head of Investment Banking, Rodman & Renshaw LLC, New York, N.Y. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/