Search for: "Capital Industries, Inc."
Results 441 - 460
of 3,235
Sorted by Relevance
|
Sort by Date
28 Jan 2019, 11:18 am
He has been in the industry since 1998. [read post]
2 Sep 2010, 7:06 am
Shapiro is alleged to have defrauded sixty investors across three states, including Florida, into investing $900 million in Capital Investments USA, Inc. [read post]
16 Feb 2016, 11:38 am
According to reports, the Financial Industry Regulatory Authority Inc. [read post]
15 Jul 2012, 4:39 pm
Earlier today, the Federal Government announced that the Minister of Industry has approved the acquisition of Viterra Inc. by Glencore International plc., a transaction announced last March. [read post]
16 Apr 2012, 1:41 pm
The Financial Industry Regulatory Authority Inc. [read post]
25 Apr 2012, 8:25 am
According to reports, on April 13, Cambridge Legacy Securities LLC filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. [read post]
2 Aug 2021, 9:39 am
Kevin McCallum was reportedly affiliated with the following firms during his career in the securities industry: 05/24/2012 – 07/05/2019, LPL FINANCIAL LLC (CRD#:6413), BIRMINGHAM, AL 10/30/2009 – 05/23/2012, NBC SECURITIES, INC, (CRD#:17870), BIRMINGHAM, AL 04/09/2007 – 11/06/2009, COLONIAL BROKERAGE, INC. [read post]
29 Nov 2010, 8:13 am
To cap off the week, federal authorities sent information requests (not subpoenas) to several large mutual funds, including Janus Capital Group Inc. and Wellington Management Co. [read post]
30 Sep 2022, 6:47 am
(CRD#:7870) of Morristown, NJ, Fidelity Brokerage Services LLC (CRD#:7784) of Wayne, NJ, and Barclays Capital Inc. [read post]
16 Feb 2021, 5:29 am
Advisor Kevin Rainwater (Rainwater), currently employed by Arkadios Capital (Arkadios) and ACG Wealth Inc. [read post]
3 Nov 2009, 10:28 am
Other than lawyers speaking and networking at legal and industry conferences, the primary means of sharing this intellectual capital to establish brand expertise and word of mouth reputation was through the traditional media. [read post]
22 Jan 2021, 1:07 pm
He has been in the industry since 1999. [read post]
22 Jan 2021, 11:43 am
Wayne Miller (Wayne Ivan Miller CRD#: 4813645) is a registered broker and previously registered investment advisor currently employed with Aeon Capital Inc. [read post]
10 Oct 2023, 11:23 am
Novation Solutions, Inc. [read post]
6 Mar 2014, 11:11 am
Based on recent awards, it appears that churning continues to be a problem in the securities industry. [read post]
7 Jul 2022, 8:54 am
He has been in the industry since 1994. [read post]
30 Apr 2019, 1:28 pm
Advisor William Gordan (Gordan), currently employed by Capital Financial Services, Inc. [read post]
20 Dec 2013, 10:06 am
[The Board sustained this opposition to registration of STONE LION CAPITAL for "financial services, namely, investment advisory services, management of investment funds, and fund investment services" [CAPITAL disclaimed], finding the mark likely to cause confusion with the registered marks LION and LION CAPITAL for various financial services [CAPITAL disclaimed]].StonCor Group, Inc. v. [read post]
11 Feb 2014, 5:59 am
[Oral argument mp3 here].StonCor Group, Inc. v. [read post]
4 Feb 2014, 6:15 am
Thereafter, Burstein became licensed as a registered representative of at least 15 other brokerage firms including Aura Financial Services, Inc., Pointe Capital, LLC, Legend Securities, Inc., and R.M. [read post]
