Search for: "BROOKSTONE, INC." Results 41 - 54 of 54
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31 Dec 2010, 8:41 pm
Shlomi Steven Eplboim, with Brookstone Securities Inc. in Tarzana, CA, and previously with Maxxtrade, Inc., was named as a respondent in a FINRA complaint alleging that Eplboim charged customers markups or markdowns in corporate bond transactions, which were not fair and reasonable, were not disclosed to customers and nothing in the nature of its business or in the bond trades justified the size of the markups or markdowns. [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc. $410,000 $110,150 … [read post]
20 Jun 2008, 1:12 am
District Court for the Central District of California has slapped Lincoln Funds International Inc with a temporary restraining order and told the advisory firm to temporarily freeze its assets. [read post]
11 Apr 2008, 9:00 am
Forest Laboratories, Inc. turns law of declaratory judgment on its head: (Patent Docs), (Patent Baristas), Mircera (Methoxy polyethylene glycol-epoetin beta) – Roche appeals preliminary injunction barring US sales of Mircera in patent infringement battle with Amgen: (Philip Brooks), (IP Law360), Norvasc (Amlodipine) – Ranbaxy becomes first foreign generic company to develop a generic product independently outside Japan and receive authorization from MHLW-Japan:… [read post]