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14 May 2020, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital Investment Group, Inc. [read post]
14 May 2020, 5:31 am
Maxim Group LLC employed Luftschein as a broker for two years between 2002 and 2004 before he left to work for the New York-based Gunnallen Financial, Inc. for five years between 2004 and 2010. [read post]
14 May 2020, 5:31 am
Maxim Group LLC employed Luftschein as a broker for two years between 2002 and 2004 before he left to work for the New York-based Gunnallen Financial, Inc. for five years between 2004 and 2010. [read post]
13 May 2020, 8:24 am
Publicly-available Form D and Form D amendments filed with the SEC list the following firms as receiving sales compensation for selling The Parking REIT: Accelerated Capital Group; Centaurus Financial, Inc.; Coastal Equities, Inc.; Crown Capital Securities, L.P.; Forest Securities, Inc.; Great Point Capital LLC; NI Advisors; Sandlapper Securities, LLC; Whitehall-Parker Securities, Inc. [read post]
13 May 2020, 6:43 am
This is the first group of enterprises affected by those threshold rules. [read post]
12 May 2020, 9:45 am
On May 8, 2020, Mackenzie Realty Capital extended an offer to purchase shares of Class A and Class T common stock in Cole Office & Industrial REIT, Inc. for $4.50 per Share, according to a letter to investors. [read post]
11 May 2020, 8:18 pm
Catherine Mott, founder and CEO of BlueTree Capital Group, said that between her venture fund and her angel group, 29 applied for PPP but only 15 were approved. [read post]
11 May 2020, 3:45 am
On May 8, 2020, Mackenzie Realty Capital extended an offer to purchase shares of Class A and Class T common stock in Cole Office & Industrial REIT, Inc. for $4.50 per Share, according to a letter to investors. [read post]
8 May 2020, 9:47 am
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
8 May 2020, 9:36 am
Mark Schneck Northwestern Mutual Investment Services LLC MML Investors Services,LLC Cynthia Tarner Dennis Taylor Taylor Capital Management Inc. [read post]
8 May 2020, 9:25 am
Walter Sweatt II Morgan Stanley Wells Fargo Advisors, LLC Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
7 May 2020, 10:23 am
Recovery of Investment Losses The White Law Group continues to investigate the liability that brokerage firms may have for unsuitably recommending high risk investments like CNL Healthcare Properties Inc. to investors. [read post]
6 May 2020, 10:41 am
American Realty Capital Healthcare Trust, Inc. [read post]
6 May 2020, 6:29 am
Advisor Rena Morris (Morris), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of her career. [read post]
4 May 2020, 4:26 pm
This raises an important policy question: What is the ideal intersection between properly incentivizing the massive amount of capital investment needed to fund R&D, while at the same time allowing for adequate data sharing and access to critical information, advancements, and the like, in order to respond efficiently and effectively to the pandemic? [read post]
4 May 2020, 7:18 am
Investment Losses appeared first on The White Law Group. [read post]
4 May 2020, 6:39 am
Advisor Stephen Holt (Holt), currently employed by Lighthouse Capital Group, LLC (Lighthouse Capital Group, LLC), has been subject to at least two customer complaints during the course of his career. [read post]
1 May 2020, 2:11 am
Under certain conditions, loans to small companies outside of a group are also permitted. [read post]
30 Apr 2020, 7:44 am
“Fraud is always a trailing activity,” notes David Mattei, a senior analyst at the Aite Group, a Boston-based consultancy. [read post]
29 Apr 2020, 11:45 am
According to reports on April 23, 2020, Medley Management Inc. [read post]
