Search for: "First Financial Equity Corp."
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27 Nov 2019, 7:00 am
Following the 2008 financial crisis, Intel’s investment policy committee had increased both funds’ allocation to “alternative” investments in hedge funds and private equity. [read post]
26 Nov 2019, 7:44 am
The post FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Nov 2019, 11:17 am
The post James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Oct 2019, 12:22 pm
According to FINRA Disciplinary actions for August 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 Sandra Acree Fidelity Brokerage Services Andrew Baker Suntrust Investment Services Wells Fargo Advisors William Cannon Lifemark Securities… [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
6 Oct 2019, 3:37 am
Corp. v. [read post]
21 Sep 2019, 2:31 pm
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 3-Jun-19Thomson Reuters Pangea3 (Managed… [read post]
11 Sep 2019, 6:00 am
The Bakersfield refinery was owned by Mohawk Petroleum Corp. when it first opened in 1932. [read post]
9 Sep 2019, 7:51 am
The post Options Clearing Corp. reportedly to pay $20 Million in Penalties appeared first on The White Law Group. [read post]
27 Aug 2019, 9:41 pm
Thus, IBM Corp. [read post]
5 Aug 2019, 9:05 am
” In 2019, Volpe allegedly worked for First Financial Equity Corp. in Scottsdale, AZ until he was again reportedly dismissed for “Failure to notify firm of private securities transaction involvement and violation of firm policy regarding borrowing funds from a client,” according to his broker report. [read post]
25 Jul 2019, 2:24 pm
HIGH FREQUENCY TRADING: – What are the positive and negative impacts of HFT and algorithmic trading on the equity market? [read post]
16 Jul 2019, 8:49 am
On 2/20/2019, First Financial Equity Corporation discharged High for “violations of firm policies. [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD… [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources… [read post]
1 Jul 2019, 7:03 am
From June 2017 until February 2018 Kolta was registered with Aegis Capital Corp. [read post]
23 Jun 2019, 7:34 am
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Thomas LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 1-May-19Phoenix Business SolutionsMorae Global… [read post]
18 Jun 2019, 6:42 am
Corp. [read post]
14 Jun 2019, 5:59 am
Other aspects of the proposal include an amendment to S-X Rule 3-05, which would, inter alia, permit registrants to provide the acquired business’s audited abbreviated financial statements without first seeking relief from the Commission in certain circumstances. [read post]
