Search for: "WORLD CAPITAL BROKERAGE INC."
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19 Apr 2024, 1:34 pm
Morgan Securities LLC Brittany Anderson Gianluca De Berardinis Morgan Stanley Quad Capital, LLC Brian Hall Monu Joseph Rosenblatt Securities Inc. [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]
14 Nov 2023, 9:01 pm
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]
9 Nov 2023, 9:01 pm
In addition, the person must become a member of SIPC, adhere to a comprehensive regulatory regime, including the net capital rule[5] and Consolidated Audit Trail reporting, and be subject to examination by the SEC and FINRA. [read post]
20 Oct 2023, 2:40 pm
We were excited to be a part of this important event where attendees learned from some of the brightest minds in the investment world and supported a great cause. [read post]
22 Sep 2023, 2:28 pm
Battalini (also known as Michael Adam Battalini), a previously registered broker in Sewickley, PA, is subject to customer dispute disclosures and was reportedly permitted to resign from his position at World Capital Brokerage, Inc., according to his Brokercheck Report. [read post]
22 Sep 2023, 2:28 pm
Battalini (also known as Michael Adam Battalini), a previously registered broker in Sewickley, PA, is subject to customer dispute disclosures and was reportedly permitted to resign from his position at World Capital Brokerage, Inc., according to his Brokercheck Report. [read post]
22 Sep 2023, 2:28 pm
Battalini (also known as Michael Adam Battalini), a previously registered broker in Sewickley, PA, is subject to customer dispute disclosures and was reportedly permitted to resign from his position at World Capital Brokerage, Inc., according to his Brokercheck Report. [read post]
10 Jul 2023, 6:47 am
The cases included charges against several parties for trading on advance information about Digital World Acquisition Corp. [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]
12 Aug 2022, 6:34 am
” “Some of the deals Kirkland has invested in alongside clients include taking stakes in Blackstone 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]
7 Jan 2022, 2:20 pm
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media Inc. [read post]
7 Jan 2022, 2:20 pm
GTV Media Group Inc., Saraca Media Group Inc., and Voice of Guo Media 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]
3 Nov 2021, 12:34 pm
06/20/2019 – 05/11/2021, WORLD EQUITY GROUP, INC. [read post]
28 May 2021, 1:44 am
Sentinel Capital Solutions, Inc. [read post]
28 May 2021, 1:44 am
Sentinel Capital Solutions, Inc. [read post]
1 Apr 2021, 7:32 am
Mustaphalli, Mustaphalli Capital Partners Fund. ( see Broker Runs $6 million Hedge Fund) Mustaphalli of Queens, NY, allegedly ran a massive hedge fund scheme targeting elderly investors at the now-defunct Mustaphalli Capital Partners Fund. [read post]
18 Mar 2021, 8:09 am
Our markets may be the envy of the world, Kelleher said, but that is not preordained or destined to always be the case. [read post]
