Search for: "Connected Investors, Inc."
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14 Nov 2023, 9:01 pm
Using all the Enforcement Division’s Tools to Protect Investors and the Integrity of the Markets In fiscal year 2023, the SEC’s Division of Enforcement aggressively employed all of its tools to protect investors and promote market integrity. [read post]
10 Nov 2023, 7:44 am
(CRD#:127724), CANTON, OH, B, 05/14/2013 – 12/31/2016, EDI FINANCIAL, INC. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
1 Nov 2023, 12:38 pm
(CRD#:23131), MORGANTOWN, WV, B, 08/27/1986 – 11/02/2018, SIGNATOR INVESTORS, INC. [read post]
1 Nov 2023, 8:28 am
Smith was reportedly barred after he refused to produce information and documents requested by FINRA in connection with its investigation. [read post]
27 Oct 2023, 6:00 am
“These data show that the costs incurred by covered issuers in connection with debit card transactions have changed significantly over time,” the staff memo said. [read post]
25 Oct 2023, 1:09 pm
Geon Industries, Inc., 531 F.2d 39, 47 (1976). [read post]
20 Oct 2023, 8:06 am
The Financial Industry Regulatory Authority Inc. [read post]
20 Oct 2023, 6:54 am
By John Filar AtwoodElon Musk and Mark Cuban are among a group of businesspersons and investor advocates that have filed an amicus brief in SEC v. [read post]
19 Oct 2023, 8:51 am
SEC Chair Gary Gensler underscored the importance of the changes: “Through helping to ensure that companies disclose material cybersecurity information, today’s rules will benefit investors, companies, and the markets connecting them. [read post]
10 Oct 2023, 11:23 am
Novation Solutions, Inc. [read post]
9 Oct 2023, 9:01 pm
In connection with these actions, the SEC stated that, even where the issuer has assumed responsibility for reporting insider transactions, insiders are ultimately responsible for compliance with the disclosure requirements. [read post]
5 Oct 2023, 10:09 am
Anesthesia Partners, Inc. [read post]
5 Oct 2023, 9:22 am
Anesthesia Partners, Inc. [read post]
3 Oct 2023, 9:01 pm
August 4, 2023, settled) In the Matter of Canoo, Inc. [read post]
2 Oct 2023, 9:01 pm
This principle was articulated in In re Caremark International Inc. [read post]
1 Oct 2023, 6:34 am
The FCC’s Media Bureau issued a Declaratory Ruling allowing Alpha Media Holdings Inc. to exceed the 25% limit on foreign investment established in section 310(b)(4) of the Communications Act. [read post]
28 Sep 2023, 9:01 pm
Background In Students for Fair Admissions, Inc. v. [read post]
28 Sep 2023, 1:51 pm
Contact us Anthony Pitta Has Been a Registered Broker Since 1989 According to his Brokercheck, Anthony Pitta has been registered as a broker with Capital Investment Group, Inc., located in Melville, New York, since 2010. [read post]
28 Sep 2023, 1:51 pm
Contact us Anthony Pitta Has Been a Registered Broker Since 1989 According to his Brokercheck, Anthony Pitta has been registered as a broker with Capital Investment Group, Inc., located in Melville, New York, since 2010. [read post]
