Search for: "WORLD CAPITAL BROKERAGE INC."
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15 Oct 2019, 10:10 am
The post Mediatrix Capital, Blue Isle Markets Inc., & Blue Isle Markets Ltd. [read post]
15 Oct 2019, 10:10 am
The post Mediatrix Capital, Blue Isle Markets Inc., & Blue Isle Markets Ltd. [read post]
26 Feb 2019, 6:25 am
According to BrokerCheck records financial advisor Mark Lamendola (Lamendola), formerly employed by Wordl Capital Brokerage, Inc. [read post]
14 Jan 2019, 10:22 am
Lamendola also allegedly altered the customer’s complaint letter to conceal that he settled away from his employing firm, World Capital Brokerage, Inc. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
3 Jul 2019, 2:23 pm
Fallone and Kozak are co-founders of OnPoint Analytics Capital Partners, which is a “boutique capital advisor firm dedicated to sourcing and introducing alternative investment opportunities to qualified investors around the world. [read post]
17 May 2017, 6:47 am
The company issued debt to raise capital for its ventures, such as Gulfmark Offshore Inc. 6.375% March 15 2022. [read post]
16 Jun 2014, 7:01 am
For example, OnDeck Capital Inc., a lender with funding from Google’s venture-capital arm and PayPal Inc. co-founder Peter Thiel, sold $175 million of notes backed by business debt in a deal put together by Deutsche Bank with interest rate ranged from 29 percent to 134 percent. [read post]
4 Apr 2018, 7:38 am
Miriam Fry Wells Fargo Clearing Services, LLC First Clearing, LLC Sherie Irene Gaunt Gill Capital Partners Roy Aurelio Gaytan Transamerica Financial Advisors, Inc World Group Securities, Inc. [read post]
9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford Stoddard Fidelity… [read post]
6 Feb 2018, 7:36 am
World Group Securities, Inc. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
24 Jan 2022, 2:01 pm
According to FINRA Disciplinary actions for January 2022, 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 Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Inc Bradley Holts World Capital Brokerage, Inc. [read post]
20 Jun 2023, 8:17 am
Holts was reportedly affiliated with the following firms during his career: 10/09/2020 – 07/15/2021, WORLD CAPITAL BROKERAGE, INC. [read post]
29 Jul 2020, 12:20 pm
World Group Securities, Inc. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 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 Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays Capital… [read post]
17 Dec 2014, 8:10 am
World Equity Group, Inc. [read post]
26 Nov 2019, 7:02 am
According to FINRA Disciplinary actions for October 2019, the following individuals were suspended 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 Acca, Lisa Arive Capital Markets Global Arena Capital Partners Bailey, Michael PFS Investments Primerica Financial Services… [read post]
15 Apr 2020, 8:56 am
Securities industry rules, enforced by the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc., require that brokerages and investment advisors must make fair and balanced disclosures to clients. [read post]
6 Aug 2007, 4:46 am
Related: It's an Ad, Ad, Ad, Ad World [read post]
