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17 Dec 2009, 6:36 am
As reported Dec. 10 by the Wall Street Journal, the Medical Capital case has produced a slew of investor claims against smaller brokerages that sold Medical Capital private placements, including Securities America, Capital Financial Services and QA3 Financial Corp. [read post]
29 Nov 2007, 8:36 am
Lustig is a broker at Jesup & Lamont Securities Corp. [read post]
11 Jun 2021, 2:45 am
For many years, Abbie served in key senior positions in Corp Fin, where she shaped regulatory policy on many important capital markets and public company issues. [read post]
12 May 2015, 2:43 pm
Essentially, in addition to taking on the credit risk of the issuer, the investor also takes on the price risk of the referenced security or securities. [read post]
16 Dec 2010, 8:46 am
$244,000 Investment Security Corp [read post]
23 Apr 2013, 2:54 am
On April 22, 2013, the Securities and Exchange Commission (“SEC”) announced that he had decided not to charge Ralph Lauren Corporation with violations of the Foreign Corrupt Practices Act (“FCPA”). [read post]
27 Jan 2016, 11:51 am
Finally, since July 2015 Connolly has been registered with Aegis Capital Corp. out of the firm’s Melville, New York office location. [read post]
27 Mar 2017, 7:12 am
Sheik Khan was registered with Ameritas Investment Corp. in Murrieta, CA from 05/10/2002 – 12/03/2013, according to her Broker Report. [read post]
4 Dec 2020, 12:49 pm
Fidelity Brokerage Services LLC Ignacio Del Campo Epic Capital Securities Corp Insigneo Securities, LLC Caleb Hutzler LPL Financial LLC Northwestern Mutual Investment Services, LLC Narongdej Jaroensabphayanont Voya Financial Advisors, Inc. [read post]
22 Jan 2016, 6:55 am
Finally, since June 2013 Luftschein has was registered with Aegis Capital Corp. out of the firm’s Melville, New York office location. [read post]
20 Feb 2016, 10:01 am
From February 2010 until July 2014, Fenimore was associated with Aegis Capital Corp. [read post]
11 Apr 2016, 6:02 am
Since March 2010 Barakat has been associated with Aegis Capital Corp. out of the firm’s New York, New York office location. [read post]
24 Mar 2016, 6:18 am
Since November 2012 Stark has been associated with Aegis Capital Corp. out of the firm’s Melville, New York office location. [read post]
25 Nov 2014, 8:09 am
In April 2010, Maleche became licensed as a general securities representative (“GSR”) with Chase Investment Services Corp. [read post]
30 Nov 2009, 5:09 am
Always an interesting conference for hard-core securities practitioners, I attended the ABA's Fall Meeting for the "Federal Regulation of Securities Committee" in DC a week ago Friday. [read post]
3 Jun 2010, 9:22 pm
ION Geophysical Corp., C.A. [read post]
4 Jun 2018, 6:30 am
National Securities Corp. [read post]
5 Jul 2014, 8:11 pm
Wyndham Worldwide Corp., et al., Defendants. [read post]
2 Dec 2011, 1:27 pm
., Medical Capital Financial Corp., and Shale (Provident) Royalties. [read post]
8 Jun 2010, 6:10 am
Avaya, Inc., 564 F.3d 242, 256 (3d Cir. 2009) [blog article here]; Southland Securities Corp. v. [read post]
