Search for: "Capital Brokerage Corporation"
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22 Sep 2022, 8:41 am
Boustead Securities, LLC StoneCreek Capital Partners Darrell Roberts Spire Securities, LLC Western International Securities, Inc. [read post]
16 Sep 2022, 4:30 am
FINRA also conducted its own investigation into the JDN Capital dealings. [read post]
14 Sep 2022, 12:32 pm
From May 2012 through September 2013, Lippmann was registered with Global Arena Capital Corporation. [read post]
6 Sep 2022, 6:03 am
BDCA FS Energy & Power FS Investment Corporation II Realty Finance Trust, Inc.B. [read post]
29 Aug 2022, 6:48 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Matthew Steven Gaer (Gaer), currently employed by Aegis Capital Corporation (Aegis) has been subject to at least two customer complaints during the course of his career. [read post]
19 Aug 2022, 9:37 am
Izhar Shefer APW Capital, Inc. [read post]
10 Aug 2022, 6:14 am
See also: Former Money Concepts Capital Advisor Dustin Shafer Barred from Securities Industry When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
29 Jul 2022, 5:39 pm
Of course, many brokerage firms—and many investment apps—try to sweep this detail under the rug. [read post]
29 Jul 2022, 3:30 am
Celsius is a cryptocurrency-based finance platform that provides financial services to institutional, corporate, and retail clients across over 100 countries. [read post]
28 Jul 2022, 8:23 am
Celsius is a cryptocurrency-based finance platform that provides financial services to institutional, corporate, and retail clients across over 100 countries. [read post]
22 Jul 2022, 3:39 am
” The REIT reportedly planned to use proceeds from the IPO to repay approximately $9.1 million in debt, and for general corporate and working capital purposes. [read post]
5 Jul 2022, 2:47 pm
A recent Executive Order encouraged the Commission to consider competition rulemakings relating to non-compete clauses, surveillance, the right to repair, pay-for-delay pharmaceutical agreements, unfair competition in online marketplaces, occupational licensing, real-estate listing and brokerage, and industry-specific practices that substantially inhibit competition. [read post]
5 Jul 2022, 9:04 am
According to FINRA Disciplinary actions for June 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 Dalila Costa-Leroy Spartan Capital Securities, LLC National Securities Corporation Carlos Guzman U.S. [read post]
7 Jun 2022, 3:29 am
The company notes it has plans to take the $20 million equity capital investment to purchase two parking garages in Miami, FL and Denver, CO. [read post]
1 Jun 2022, 1:44 pm
The claim further alleges that Cetera Advisors LLC unsuitably invested its clients in Hospitality Investors Trust Inc. and other alternative investments, including the following: Philip Edison Grocery Center REIT, NorthStar Healthcare Income, KBS Real Estate Investment Trust III, Hines Global Trust, Griffin Capital Essential Asset REIT, FSKR, Business Development Corporation of America, Griffin Investment, Griffin Real Estate CI and Healthcare Trust, Inc. [read post]
28 Apr 2022, 9:01 pm
” In corporate governance, the ideal that some cite is “one share, one vote. [read post]
11 Apr 2022, 9:01 pm
For example, Section 160 of the Delaware General Corporation Law prohibits a corporation from purchasing its shares of capital stock when the purchase “would cause any impairment of the capital of the corporation”;4 its organizational documents, including its certificate of incorporation and bylaws; any agreements that may restrict or limit its ability to repurchase its securities. [read post]
30 Mar 2022, 5:52 am
CPA:18 Global Corporate Property Associates 18 Global Lawsuits Investigation The White Law Group is investigating potential securities claims involving the liability that brokerage firms may have for recommending CPA:18 – Global Corporate Property Associates to investors. [read post]
24 Mar 2022, 6:55 am
His previous employers were National Securities Corporation (CRD#:7569) and Prime Capital Services, Inc. [read post]
23 Mar 2022, 9:44 am
According to a FINRA complaint filed on June 15, 2021, from January 2017 to December 2019, while affiliated with Spartan Capital Securities, LLC, Reda allegedly recommended to all of his customers an unsuitable investment strategy that consisted of actively trading in anticipation of corporate announcements. [read post]
