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3 May 2022, 7:53 am
Davidson & Co, Compass Point, and Northland Capital Markets as co-managers for the offering. [read post]
2 May 2022, 2:10 pm
Unfortunately, many brokerage firms lack adequate insurance or are otherwise poorly capitalized and FINRA arbitration frequently exposes firms and individual financial advisors who fail to satisfy their financial obligations. [read post]
28 Apr 2022, 12:34 pm
Fox Sports, Inc., 2022 WL 1134487, No. [read post]
27 Apr 2022, 12:56 pm
According to FINRA Disciplinary actions for March 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Joseph Likens LPL Financial LLC Cornerstone Wealth Management, LLC Guy Newman GVC Capital LLC Bathgate Capital Partners LLC John Santariello Arive Capital Markets Cape… [read post]
27 Apr 2022, 11:21 am
Criminal defense attorney Robert J. [read post]
27 Apr 2022, 6:24 am
According to a letter to Cottonwood shareholders this week, MacKenzie Capital Management, LP has extended an offer to purchase shares of the REIT for $5.05 per share. [read post]
26 Apr 2022, 8:14 am
The owners’ liability is limited to the capital and other investments they contribute to the business. [read post]
25 Apr 2022, 1:39 pm
VIH and Legacy Bakkt completed the business combination on October 15, 2021 and the combined company changed its name to Bakkt Holdings, Inc. [read post]
Court of Appeal: Slapping Female Coworker’s Buttocks in “Heat of the Moment” not “Wilful Misconduct”
25 Apr 2022, 6:14 am
Polyone Canada Inc., to explain what is required to meet the statutory standard for misconduct. [read post]
25 Apr 2022, 5:59 am
On April 20, 2022, GWG Holdings Inc., sponsor of GWG L Bonds, filed for Chapter 11 bankruptcy protection after months of uncertainty and disappointment for investors. [read post]
23 Apr 2022, 5:42 pm
In total, all short sellers lost $5.05 billion on their bets against GameStop.Id.GameStop’s short squeeze was just one in a long line of stocks impacted by sharp volatility due to a conflict between Wall Street short sellers and internet investors bubbles, including Virgin Galactic Holdings, Inc.; Workhorse Group, Inc.; AMC Networks, Inc.; and Bed Bath & Beyond, Inc. [read post]
23 Apr 2022, 5:30 pm
(Yale School of Management). [read post]
21 Apr 2022, 9:19 am
Emerson Equity also happens to be the managing broker-dealer and underwriter for GWG bonds, according to its website. [read post]
20 Apr 2022, 5:01 am
On April 8, Tencent stock was down about 1.8 percent while video streaming firm Bilibili Inc. was among the worst performers in Hong Kong. [read post]
19 Apr 2022, 8:17 am
Can white supremacy and capitalism be disentangled? [read post]
19 Apr 2022, 3:18 am
Can white supremacy and capitalism be disentangled? [read post]
12 Apr 2022, 9:01 pm
The first is bringing consistency and comparability to how a management team discloses a company’s strategy, governance, and risk management with respect to climate-related risks, building upon the TCFD framework. [read post]
12 Apr 2022, 7:30 am
The company raised capital through a private offering in 2017, and its stock became effective in 2018, but ceased offering shares in March 2020, due to the COVID-19 pandemic. [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Friday, April 1, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles The SEC’s Proposed New Short Disclosure/Sale Requirements Posted by Kevin J. [read post]
8 Apr 2022, 5:50 am
Securities and Exchange Commission, on Friday, April 1, 2022 Tags: Capital formation, Investor protection, IPOs, LLCs, Mergers & acquisitions, SEC, Securities regulation, SPACs, Special purpose vehicles The SEC’s Proposed New Short Disclosure/Sale Requirements Posted by Kevin J. [read post]
