Search for: "Capital Industries, Inc."
Results 981 - 1000
of 3,247
Sort by Relevance
|
Sort by Date
16 Sep 2019, 6:18 am
Hyer entered the securities industry in 1983. [read post]
13 Sep 2019, 1:01 pm
UBS Lawsuit reportedly involves Bill Hightower According to the Financial Industry Regulatory Authority (FINRA), a FINRA panel ordered UBS Financial Services Inc. to pay $555,000 to an elderly Texas widow for investment losses in her individual retirement accounts due to allegedly unsuitable investments. [read post]
11 Sep 2019, 3:57 pm
The critical issue at hand: which industries does the new “ABC Test” apply to in the wake of the 2018 California Supreme Court ruling in Dynamex Operations West, Inc. v. [read post]
11 Sep 2019, 5:18 am
These obstacles were front and center in a recent OHA decision: Valor Construction, Inc., SBA No. [read post]
10 Sep 2019, 1:57 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Johnston, formerly registered with Capital Financial Services, Inc. [read post]
6 Sep 2019, 7:08 am
In the Matter of Kalos Capital, Inc. and Darren Michael Kubiak, Respondents (FINRA AWC 2016048196801) https://www.finra.org/sites/default/files/fda_documents/2016048196801%20Kalos%20Capital%2C%20Inc.%20CRD%2044337%20Darren%20Michael%20Kubiak%20CRD%201239086%20%20AWC%20va.pdfFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior… [read post]
6 Sep 2019, 3:00 am
A similar scheme happened at Axor Experts-Conseils Inc. [read post]
4 Sep 2019, 8:42 am
About TCV Founded in 1995, TCV provides capital to growth-stage private and public companies in the technology industry. [read post]
29 Aug 2019, 1:33 am
Tencent Holdings Ltd. and New Oriental Education & Technology Group Inc. [read post]
28 Aug 2019, 5:24 am
One company that is capitalizing on the trend is Zelle, the digital payments company owned by Bank of America BB&T, Capital One, JPMorgan Chase, PNC Bank, US Bank, Citibank, and Wells Fargo. [read post]
20 Aug 2019, 5:28 pm
These results significantly lagged the returns of the Dow Jones Industrial Average (-3.48%) and the S&P 500 Index (-4.39%). [read post]
18 Aug 2019, 8:07 am
Brokerage Industry Disciplinary Action Report: July 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
15 Aug 2019, 7:22 am
Showtime Networks, Inc., No. 18 Civ. 11078 (CM) (JLC), 2019 BL 290214 (S.D.N.Y. [read post]
14 Aug 2019, 9:38 am
Facts: This case (Wischermann Partners, Inc. v. [read post]
14 Aug 2019, 7:20 am
He noted that the three tests are part of the regulation because it needs to encompass all industries, but wondered if a market capitalization test would be better because it is “industry-agnostic. [read post]
14 Aug 2019, 4:34 am
Industry Developments SPOTLIGHT: Mobile Contactless Payments Will Account For Less Than 2% Of U.S. [read post]
12 Aug 2019, 3:00 am
He’s an investor in both Reddit & the trading app Robinhood, and a general partner in Casa Verde Capital, which recently completed a $45 million capital raise & focuses on investments in – here’s a shock – the cannabis industry. [read post]
7 Aug 2019, 9:23 am
Congress Wants Capital One and Amazon to Explain Data BreachCBS News – August 1, 2019 Leaders of House and Senate committees want Capital One and Amazon to explain to Congress how a hacker accessed personal information from more than 100 million Capital One credit card customers and applicants. [read post]
5 Aug 2019, 10:38 am
A Texas investor has filed an investor fraud claim against Kalos Capital, Inc. and its financial advisor Joshua Daniel Stivers, who operated under the name Platinum Wealth Advisory. [read post]
5 Aug 2019, 7:56 am
About Navigant Navigant Consulting, Inc. [read post]
