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30 Jul 2020, 7:41 am
(CRD# 21786), JHS Capital Advisors, Inc. [read post]
16 Jun 2014, 10:23 pm
A press release from December points out what happens to private companies that are as careless about preserving records as the IRS claims to be: The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years. [read post]
18 Dec 2007, 10:44 pm
New York Stock Regulation Inc. announced its enforcement actions against four trading companies. [read post]
18 May 2021, 5:57 am
Gordon is partner at Equilar, Inc. [read post]
7 May 2010, 10:48 am
RBC Capital Markets Corp., Equity Station Inc., Fagenson & Co. [read post]
18 Jul 2012, 7:43 am
A three-member Financial Industry Regulatory Authority ("FINRA") arbitration panel has issued a $1.6 million Award in favor of customer, John Sisk, against JHS Capital Advisors, Inc., Pointe Capital, Inc. and broker Enver R. [read post]
11 Jun 2023, 4:17 pm
The Financial Industry Regulatory Authority Inc., a private organization empowered by Congress to regulate the securities industry, is structured and operated in a way that violates the US Constitution, two brokerage firms allege in a suit.FINRA “wields massive power and governmental authority over the securities broker-dealer industry and the financial markets,” Scottsdale Capital [...] [read post]
3 Jan 2015, 7:57 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Source Capital Group, Inc. [read post]
7 Jan 2020, 8:30 am
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
9 Jan 2009, 1:59 pm
The professionals of VRA Partners have completed more than 250 transactions across a broad range of industry sectors, including business services, consumer and retail, healthcare, industrial, media and technology. [read post]
21 May 2010, 12:26 pm
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged in unauthorized and unsuitable trading in multiple accounts. [read post]
22 Dec 2019, 9:17 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
1 Dec 2023, 8:06 am
His previous employers include Ameriprise Financial Services, Inc. [read post]
16 Aug 2023, 9:04 am
Securities America Inc. [read post]
13 Dec 2019, 11:47 am
INDUSTRY TO FACE FRESH WAVE OF UNPAID ARBITRATION CLAIMSThe Financial Industry Regulatory Authority Inc (FINRA)., along with the rest of the securities industry, is staring at a fresh wave of unpaid and embarrassing arbitration awards against it. [read post]
20 Jan 2012, 9:55 am
The Award is related to losses in Provident Royalties LLC, Medical Capital Holdings, Inc. and DBSI, Inc. [read post]
21 Dec 2010, 6:58 am
MBBP client Agrivida, Inc. announced they are working in collaboration with Syngenta Ventures, a venture capital firm that invests globally in innovative businesses, to create advanced crop technology that will provide low-cost sugars for a variety of industrial applications. [read post]
4 Dec 2020, 6:16 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5579/securities-industry-commentator/GUEST BLOG [In]Securities: Sometimes, a Man of Peace By Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill (SEC Release)Justice Department Announces Additional Distribution of more than $488… [read post]
29 May 2018, 1:45 pm
Rockville-based Vigene Biosciences Inc. has been recognized as the 2018 Emerging Growth Company of the Year by ACG National Capital. [read post]
13 Dec 2018, 12:04 pm
The White Law Group announces the filing of a FINRA Arbitration claim against Capital Financial Services, Inc. [read post]
