Search for: "Capital Industries, Inc."
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8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
26 May 2011, 12:18 pm
Among the broker/dealers that have shuttered: Cullum & Burks Securities Inc., Securities Network, GunnAllen Financial, QA3 Financial Corp. and Jesup & Lamont Securities Corp., among others. [read post]
7 Mar 2016, 9:46 am
FINRA alleged that Nixon failed to provide prior written notice to Bridge Capital Associates, Inc. [read post]
16 Mar 2021, 7:13 am
The company reportedly filed a form D to raise capital from investors in 2017. [read post]
8 Mar 2022, 3:39 pm
According to the legal opinion of SenseTime Group Inc. [read post]
14 May 2018, 1:22 pm
He has been employed at Aegis Capital Corp. from 2016 until his bar from the industry. [read post]
10 Sep 2014, 6:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm 79 Capital Securities, LLC (79 Capital) and broker Michael Ward (Ward) concerning allegations around June and July 2012, 79 Capital and Ward posted on the website of a business networking organization sales material regarding GWG Renewable Secured Debentures (GWG Debentures), an illiquid and high-risk alternative private placement investment that omitted material information concerning… [read post]
17 Aug 2009, 8:36 am
Hedge Fund Research, Inc. [read post]
13 Jul 2014, 9:13 am
One of the marijuana industry's largest players, Bhang Chocolate, has announced it is terminating the deal with public trading firm Mentor Capital Inc., alleging breach of agreement. [read post]
14 Jan 2021, 4:58 pm
While other groups and industries were still facing losses, Venture Capital managed to pull off one of its most successful years yet. [read post]
25 Jan 2019, 1:03 pm
His previous employers include Prime Capital Services, Inc. [read post]
1 Nov 2017, 7:00 am
The sandwich chain was an addition to the Group’s portfolio that consisted of Arby’s and CKE Restaurants Holdings Inc. [read post]
5 Mar 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Merriman Capital, Inc. [read post]
23 Nov 2010, 5:00 am
He has served as a member of the board of directors of UST Inc., Foster Wheeler AG, and AT&T Capital. [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES St. [read post]
21 Jun 2022, 1:21 pm
He has been in the industry since 2006. [read post]
2 Feb 2021, 8:41 am
Kulch was previously registered with NEXT Financial Group, Inc. in Nashua, New Hampshire from 2006 until he left the brokerage industry in 2020. [read post]
14 Jul 2011, 8:43 pm
A Financial Industry Regulatory Authority arbitration panel issued the order which found the respondent liable. [read post]
12 Apr 2021, 8:39 am
The SEC has charged GPB Capital, Ascendant Capital, and Ascendant Alternative Strategies with running a Ponzi-like scheme that raised roughly $1.8 billion from securities issued by GPB Capital. [read post]
FINRA arbitration filed against Questar Capital and Centaurus Financial to recover investment losses
9 Feb 2015, 10:56 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Questar Capital and Centaurus Financial. [read post]
