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1 Dec 2023, 10:14 am by Robin Happel
Rather, they are a coordinated step in a multi-year strategy to undermine criticism of the oil and gas industries. [read post]
1 Dec 2023, 1:16 am by The White Law Group
The SEC is also charging the executive and Cole Capital Funds LLC, an entity he formed and controlled, with issuing a false press release in November 2023 stating that Cole Capital intended to purchase 51% of all minority ownership shares in WeWork Inc. at $9 a share, more than nine times WeWork’s then-current trading price. [read post]
28 Nov 2023, 10:19 am by The White Law Group
  FINRA BrokerCheck Report – Hector Hernandez  According to this FINRA BrokerCheck report, Hector Hernandez was affiliated with the following firms during his career, among others:  12/22/2021 – 04/08/2022, PEAK BROKERAGE SERVICES, LLC (CRD#:157045), San Antonio, TX, B, 07/18/2012 – 12/17/2021, MONEY CONCEPTS CAPITAL CORP (CRD#:12963), Shavano Park, TXB, 10/09/2008 – 07/06/2012, NEXT FINANCIAL GROUP, INC. [read post]
27 Nov 2023, 8:22 am by The White Law Group
(CRD#:39262), Woodland Hills, CA,  B, 07/10/2019 – 12/23/2019, SPARTAN CAPITAL SECURITIES, LLC (CRD#:146251), NEW YORK, NY B, 08/21/2017 – 07/10/2019, WESTERN INTERNATIONAL SECURITIES, INC. [read post]
21 Nov 2023, 2:26 pm by Silver Law Group
Diamond was previously registered with an Atlanta-based broker-dealer called Kalos Capital Inc. when he sold GPB’s securities. [read post]
15 Nov 2023, 6:26 am by jeffreynewmanadmin
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
14 Nov 2023, 9:01 pm by renholding
Industry Shaping Initiatives In fiscal year 2023, the Division conducted a number of initiatives to proactively investigate recurring or widespread violations in the securities industry. [read post]
13 Nov 2023, 9:05 pm by renholding
    INTERPRETIVE GUIDANCE The Interpretive Guidance is substantively identical to the proposal and, according to the Council, “removes three significant but inappropriate prerequisites”[12] that were embodied in the 2019 Interpretive Guidance: (1) the prioritization of industry-wide, activity-based regulations over the designation of specific entities (i.e., an “activities-based approach”) to address risks to financial stability; (2) the commitment to… [read post]
8 Nov 2023, 10:14 pm by D. Daxton White
  FINRA Rule 2111: Suitability  FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
26 Oct 2023, 8:53 am by Silver Law Group
Morgan Securities LLC   Albert Foronda   Spartan Capital Securities, LLC   Worden Capital Management LLC   Jorge Baquero   Spartan Capital Securities, LLC   Eduardo Martinez   National Securities Corporation   PHX Financial, Inc. [read post]