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22 Jul 2022, 8:55 am
Chopra in a July 11 blog post reiterated industry practices that his agency considers troublesome and ripe for regulatory action. [read post]
22 Jul 2022, 3:39 am
The Parking REIT Withdraws $100 Million IPO According to SEC filings, The Parking REIT, Inc. withdrew its registration statement that was filed on October 5, 2018. [read post]
19 Jul 2022, 2:59 pm
Myth #4: Cases will not get dismissed if the company raises capital or insiders sell stock during the class period. [read post]
18 Jul 2022, 2:46 pm
The derivative action pursued by ClientEarth is also a continuation of other recent shareholder actions it has launched in other jurisdictions, including a shareholder action against the Polish power industry company Enea SA, which resulted in the Polish Court finding that the resolution authorizing the construction of a new coal-fired power plant was legally invalid. [read post]
14 Jul 2022, 8:58 am
On March 21, 2022, the Financial Industry Regulatory Authority (FINRA) ordered Dempsey Lord Smith, LLC (“Dempsey Lord Smith”) to pay nearly $100,000 in monetary fines and restitution for negligently omitting to tell four investors in an offering related to GPB Capital Holdings, LLC (“GPB Capital”) that the issuer failed to timely make required filings with the Securities and Exchange Commission (“SEC”), including filing audited financial… [read post]
8 Jul 2022, 6:27 am
On June 23, 2022, the Financial Industry Regulatory Authority (FINRA) ordered National Securities Corporation (“NSC”) to pay nearly $9 million in monetary fines and restitution for violating various SEC, NASD, and FINRA rules, including negligently omitting material facts to retail investors connected with offerings related to GPB Capital Holdings, LLC (“GPB Capital”). [read post]
8 Jul 2022, 4:00 am
National/Federal A Trump-Appointed Official Who Gets an Important Vote on Whether Trump Broke Election Laws Spoke at a Texas GOP Event Where He Was Billed as a Part of the ‘Trump Elections Team’ MSN – Madison Hall | Published: 6/30/2022 FEC member Trey Trainor, who was appointed by Donald Trump, spoke at a Republican-sponsored “election integrity” event in Texas in November 2021. [read post]
7 Jul 2022, 8:54 am
He has been in the industry since 1994. [read post]
7 Jul 2022, 5:01 am
In the capital city of Helsinki, a system of tunnels can provide shelter for up to 900,000 people, which is more than Helsinki’s population. [read post]
5 Jul 2022, 9:04 am
Bancorp Investments, Inc. [read post]
1 Jul 2022, 1:57 pm
While not all-inclusive due to the fact that M&A+I events are not always publicly disclosed and some announcements may not represent event completion, the abridged listing of M&A+I events maintained by ComplexDiscovery notes key industry events by sharing event date, company involvement, and known event amounts. [read post]
29 Jun 2022, 11:56 am
Trans World Airlines, Inc. [read post]
22 Jun 2022, 2:08 pm
The residual $13.5 million was retained as working capital for Blue Mountain. [read post]
21 Jun 2022, 1:21 pm
He has been in the industry since 2006. [read post]
21 Jun 2022, 11:48 am
He has been in the industry since 2014. [read post]
19 Jun 2022, 7:17 pm
(HIT REIT) 2021 UpdateHealthcare Trust Inc. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
1 Jun 2022, 9:16 am
Scott Levine Ascendiant Capital Markets, LLC BMA Securities Mario Martinez Mutual of Omaha Investors Services, Inc. [read post]
1 Jun 2022, 8:31 am
Aleksandr Osaulenko First Standard Financial Company LLC Alexander Capital, LP Yousuf Saljooki Worden Capital Management LLC Salomon Whitney Financial Brokers and brokerage firms are obligated to satisfy all FINRA arbitration judgements, without any unreasonable or unwarranted delay. [read post]
30 May 2022, 4:07 am
The complete publication (available here) concludes with an investigation into what this means for the finance industry. [read post]
