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29 Jan 2018, 10:17 am
MBBP client Paytronix Systems, Inc. received a $65 million growth equity investment from private equity firm Great Hill Partners, the first institutional capital in the company. [read post]
21 May 2010, 12:26 pm
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged in unauthorized and unsuitable trading in multiple accounts. [read post]
12 Feb 2011, 1:28 am
Seahawk Drilling, Inc. [read post]
21 Apr 2009, 2:20 pm
Jeanneret Associates Inc. and Ivy Asset Management Corp. and Ivy's parent Bank of New York Mellon Corp. [read post]
28 May 2012, 7:58 pm
Paron Capital Management LLC v. [read post]
3 Feb 2014, 11:40 am
Sweet entered judgment in favor of plaintiffs Debra Schatzki and BPP Wealth, Inc. in their trademark infringement action against defendant Weiser Capital Management, LLC and others after a bench trial. [read post]
11 Aug 2014, 5:40 am
The law offices of Gana LLP recently filed a securities arbitration on behalf of an investor against JHS Capital Advisors, LLC f/k/a Pointe Capital, Inc. [read post]
23 Aug 2012, 11:37 am
Aladdin Capital Management LLC, 11-4306-cv (2nd Cir. [read post]
1 Feb 2011, 7:18 am
Santa Rita Partners, Inc. is a broker-dealer that was registered with FINRA. [read post]
22 Mar 2018, 12:43 pm
According to an Order Instituting an Administrative Cease and Desist against Horter brought by the Securities and Exchange Commission (SEC) last year, Horter Investment Management was accused of making misstatements to clients concerning F-Squared Investments, Inc. [read post]
7 Mar 2019, 11:59 am
According to SEC filings, Imageware Systems Inc. filed a Form D to raise capital from investors in 2012. [read post]
2 Mar 2022, 7:26 am
In May 2020, the company announced that its Board of Directors terminated its previously announced mergers with Medley Capital Corporation (“MCC”) and Medley Management Inc. [read post]
6 Mar 2012, 8:33 am
Brown, formerly associated with registered broker-dealer Prime Capital Services, Inc., violated various provisions of the Securities Act of 1933 and 1934 by selling variable annuities to elderly customers while failing to disclose material information, including a prohibition on Brown’s insurance license against making such sales. [read post]
6 Mar 2012, 8:33 am
Brown, formerly associated with registered broker-dealer Prime Capital Services, Inc., violated various provisions of the Securities Act of 1933 and 1934 by selling variable annuities to elderly customers while failing to disclose material information, including a prohibition on Brown’s insurance license against making such sales. [read post]
29 Feb 2012, 4:03 pm
Federal prosecutors in Manhattan have alleged that Doug Whitman, of Whitman Capital in Menlo Park, Calif., made improper trades based on inside information about Google Inc. and other technology companies. [read post]
10 Apr 2023, 11:49 am
Arete Complaints involving GPB Capital In February 2021, Arete Wealth Management lost a $515,000 arbitration claim for losses involving high-risk private placements managed by GPB Capital Holdings. [read post]
6 Jul 2020, 7:12 am
(CRD# 36487), and WMA Securities, Inc. [read post]
2 Jun 2017, 8:18 am
” In addition, the letter points out that American Realty Capital New York City REIT is managed by an external advisor controlled by Nicholas Schorsch, whose affiliated entities have experienced numerous scandals in the past few years. [read post]
20 Jun 2018, 4:54 am
Fiore, and two companies he purportedly owns, Berkshire Capital Management Company, Inc., and Eat at Joe's, Ltd. [read post]
3 Jul 2011, 12:13 am
Expert Group, Inc. [read post]
