Search for: "Financial Consulting and Trading International, Inc."
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21 Jul 2008, 3:05 pm
The companies are being asked whether they executed internal probes about the rumors related to the sub-prime loan business, a potential federal government bailout affecting several financial institutions, and the use of the Federal reserve discount window. [read post]
20 May 2020, 11:58 am
If you owned CPI Aerostructures, Inc. [read post]
25 Oct 2006, 6:22 pm
’s latest quarterly report lists the value of its stake in Fuel FX International Inc. at $7.05 million. [read post]
1 Oct 2015, 6:21 am
On May 9, 2013, McGriskin resigned from JP Turner while under internal review for questionable mutual fund trading activity. [read post]
4 May 2021, 6:13 am
Participation used where a revolving facility is traded or new funding is required but there is a risk of banking licence “look through”. [read post]
23 Jan 2018, 7:15 am
Previous registrations include Morgan Stanley & Co., Morgan Stanley DW Inc., SunAmerica Securities, Franklin-Lord Incorporated, Kemper Securities Group, Boettcher & Company, Shearson Lehman Hutton Inc., EF Hutton & Company Inc., and Hutchison Financial Corporation. [read post]
18 Mar 2015, 6:19 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm World Equity Group, Inc. [read post]
6 Mar 2007, 5:03 pm
Page, 305-373-8488 dcpage@verasysllc.com or Jesus Pena, 305-373-8488 jpena@verasysllc.com Mentions: Fios, Inc. - web site | Socha Consulting listing Verasys LLC - web site | Socha Consulting listing [read post]
20 Apr 2021, 9:33 am
Potential Lawsuits to Recover Financial Losses The trouble with non-traded REITs is that they are complex and inherently risky products. [read post]
28 Mar 2014, 6:40 am
In addition, FINRA found that National Planning had internal guidelines that limited the amount customers were permitted to invest in illiquid investments, such as non-traded Real Estate Investment Trusts (REITs). [read post]
2 Oct 2022, 12:47 pm
Advisor Heath Goldstein (Goldstein), currently employed by brokerage firm Western International Securities, Inc. [read post]
2 Apr 2018, 4:03 pm
Make no mistake, the SEC is now viewing cybersecurity risks as it does all other economic and business risks – particularly as it relates to internal controls, financial reporting and requisite related public disclosures. [read post]
30 Jul 2014, 12:36 pm
Speight or International Stock Transfer, Inc., please give us a call at 1-877-STOCK-LAW for a free consultation. [read post]
24 Oct 2018, 4:33 pm
First, the SEC initiated an internal investigation into the cause of the data breach. [read post]
15 Nov 2009, 10:16 am
Suits against directors for insufficient accounting oversight are possible as a result of Caremark International, Inc., a 1996 Delaware derivative suit involving a Board of Directors that was alleged to have failed to adequately oversee activities of employees that led to breaches of federal and state. [read post]
27 May 2007, 4:27 pm
A New York jury found the company's director liable for assisting in Brightpoint's fraud and other violations of securities law said the SEC In November, the American International Group(AIG) paid $126 million to settle claims by the Department of Justice and SEC that it assisted companies, including Brightpoint and the PNC Financial Services Group, inflate earnings through AIG's insurance products. [read post]
21 Feb 2018, 7:41 am
” Following this news, shares of MiMedx were down more than 38% on intraday trading. [read post]
23 Sep 2016, 10:50 am
Yesterday, San Antonio-based broker-dealer Investment Professionals Inc. has been censured and fined $170,000 by the Financial Industry Regulatory Authority, for more on the story, click here. [read post]
23 Mar 2017, 11:24 am
Western International Securities Inc. and her firm, Bennett Group Financial Services were also named in the suit. [read post]
15 Jan 2014, 12:11 am
Much like when an individual wants to buy foreign currency in anticipation of international travel, a common method for a company or investor to make a large currency transaction is to review information posted by various banks about their prices for a given currency and pick the best rate. [read post]
