Search for: "B&B SECURITY CONSULTANTS, INC."
Results 341 - 360
of 1,098
Sorted by Relevance
|
Sort by Date
28 Sep 2013, 6:08 am
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
26 Nov 2009, 7:15 pm
Updated for two additional notes to the SEC at bottom of post To the Securities and Exchange Commission: Recently, Overstock.com (NASDAQ: OSTK) CEO Patrick M. [read post]
4 Dec 2015, 5:27 am
Thereafter, from August 2011 until June 2015, Khezri was associated with Cape Securities Inc. [read post]
4 Jul 2018, 11:33 am
However, Conaway disclosed a number of outside business activities including that he operates his securities business through a d/b/a C&C Wealth Advisory Group. [read post]
24 Aug 2015, 7:16 am
From 2006, until June 2009, King was registered with Citigroup Global Markets Inc. [read post]
3 Jul 2020, 6:09 am
Carlin, and David B. [read post]
19 Jul 2012, 6:27 am
The Rule’s various exemptions effectively limit its applicability to non-institutional private placements. [2] It should be noted that FINRA has withdrawn an earlier proposal that would have required specific disclosure to each investor to whom the security is sold; that disclosure would have required (a) a description of the anticipated use of offering proceeds, (b) the amount and type of offering expenses, and (c) the amount and type of compensation provided or to be… [read post]
22 Dec 2017, 6:07 am
Strauber, and Daniel B. [read post]
8 Nov 2018, 2:31 pm
Haitian Centers Council, Inc., 509 U.S. 155 (1993). [read post]
20 Sep 2018, 12:46 pm
An Extended Hearing Panel found Ottimo to have committed the violations, and assessed a $25,000.00 fine and two-year suspension; however, sanctions were not imposed in light of Ottimo being barred by the Extended Hearing Panel for a more serious act: committing securities fraud in violation of Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. [read post]
10 Apr 2012, 5:01 am
Section 911 of the Law provides that the Committee shall: advise and consult with the Commission on—(i) regulatory priorities of the Commission; (ii) issues relating to the regulation of securities products, trading strategies, and fee structures, and the effectiveness of disclosure; (iii) initiatives to protect investor interest; and (iv) initiatives to promote investor confidence and the integrity of the securities marketplace; and (B) submit to… [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
19 Nov 2011, 7:14 am
From 1996 to 2007, it charged The Malaysia Fund Inc. about $1.845 million pursuant to a research and advisory agreement with AMMB Consultant Sendirian Berhad. [read post]
9 Apr 2019, 2:13 pm
The union, in turn, filed unfair labor practice charges complaining about (a) the new employer’s discriminatory failure to hire the four incumbent workers, (b) its refusal to recognize and bargain with the union, and (c) the unilateral changes in working conditions the new employer made when it posted its new working conditions without prior consultation with the union. [read post]
25 Feb 2014, 10:02 am
” Brenner added that this provision could thus “fill a gap” caused by the Supreme Court’s decision in Janus Capital Inc. v. [read post]
7 Feb 2022, 6:56 pm
In re Forum Mobile, Inc., C.A. [read post]
12 Mar 2020, 12:49 pm
According to reports, the Duff & Phelps Select MLP and Midstream Energy Fund Inc. announced that it will redeem all outstanding shares of the 4.65% Series B Preferred Shares (CUSIP No. 26433F3#3), effective April 15, 2020 (the redemption date). [read post]
1 Nov 2017, 10:25 am
” 740 ILC 14/15(b)(2). [read post]
22 Mar 2021, 5:01 am
Subsection (b) seeks to identify companies working for the Chinese military. [read post]
9 Aug 2023, 9:28 am
According to his FINRA broker report, Lickhai Quach has been affiliated with the following firms during his career in the securities industry, including the following: 01/06/2012 – 03/10/2023, TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164), ROCKVILLE, MD, B, 04/12/2002 – 01/06/2012, WORLD GROUP SECURITIES, INC. [read post]
