Search for: "Security Connections, Inc."
Results 141 - 160
of 4,795
Sorted by Relevance
|
Sort by Date
29 May 2019, 10:15 am
Troice (2014)) the “in connection with” requirement is not met unless it is material to a decision to buy or sell a security. [read post]
11 Oct 2011, 1:32 pm
On October 7, the Autorité des marchés financiers (AMF) issued a notice of public consultation related to the application filed with the AMF on October 3 by Maple Group Inc. in connection with its proposed acquisition of TMX Group, and the subsequent proposed acquisitions of Alpha Trading Systems Limited Partnership, Alpha Trading Systems Inc. and the Canadian Depository for Securities Limited. [read post]
3 Sep 2008, 4:36 pm
His employer, Colgan Air Inc. [read post]
30 Jul 2013, 4:51 am
Lindsey; Lindsey & Lindsey Wealth Management, Inc.; and Securities America, Inc., Respondents – AND – John C. [read post]
6 Sep 2011, 12:17 pm
Citigroup, Inc.5. [read post]
17 Aug 2022, 6:56 am
The post Axiom Capital Management Inc. [read post]
17 Aug 2022, 7:03 am
The post Axiom Capital Management Inc. [read post]
30 Mar 2021, 10:50 am
FINRA Censures and Fines JW Cole Financial Inc. for Supervisory Issues The White Law Group is investigating potential securities claims involving JW Cole Financial Inc., Inc. [read post]
29 May 2007, 7:23 pm
The companies include Avalon Oil and Gas Inc., which last month completed its third technology transfer with UTEK, and ChampionLyte Holdings Inc., now called Cargo Connection Logistics Holdings Inc. [read post]
4 Mar 2018, 5:40 am
Voya Advisers Agree to Repay Clients and Settle Charges That They Failed to Disclose Securities Lending Conflict (SEC Press Release 2018-35) https://www.sec.gov/news/press-release/2018-35The SEC charged two investment adviser subsidiaries of Voya Holdings Inc. with failing to disclose conflicts of interest and making misleading disclosures in connection with their practice of recalling securities on loan so their affiliates could receive tax benefits. [read post]
7 Jun 2007, 8:58 pm
In Metcap Securities LLC v. [read post]
20 Oct 2010, 4:07 pm
Earlier this month the Bureau of Industry and Security (“BIS”) imposed a ten-year denial order on Alphatronx, Inc. on the ground that the company was related to Joseph Pinquet who had been convicted of violating the Arms Export Control Act in connection with his export of military power amplifiers to China without a license. [read post]
12 May 2014, 1:17 pm
Rule 10b-5(b) makes it unlawful to make false or misleading statements in connection with the purchase or sale of a security. [read post]
9 Sep 2020, 7:24 am
Prior to that, he was registered with Woodstock Financial Group, Inc. from 2013-2018. [read post]
2 Feb 2016, 1:39 pm
In November 2014, the Alliance of Automobile Manufacturers, Inc., and the Association of Global Automakers, Inc., published the Consumer Privacy Protection Principles: Privacy Principles for Vehicle Technologies and Services. [read post]
15 Mar 2021, 10:18 am
Aphria inc., 2021 QCCS 534, the Superior Court of Quebec (the “Court”) dismissed a class action lawsuit brought by investors who acquired Aphria's securities on the secondary market, judging that it did not have jurisdiction over the matter. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Masood Azad (Azad), in May 2017, was terminated by his employer First Allied Securities, Inc. [read post]
29 Dec 2022, 9:38 am
Moloney Securities Inc. [read post]
3 Dec 2010, 1:07 am
McDonald, President of RAI Hotel Acquisition, Inc., ("RAI, Inc. [read post]
29 Nov 2011, 6:00 am
Next Financial Group, Inc. [read post]
