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(FTCO), is a FINRA broker-dealer (www.finra.org) focused exclusively as placement agent for private equity, real estate, and hedge funds. ......
Second round private placement for developer, marketer and seller of fortified juice .... Assisted a broker-dealer in obtaining its license from the NASD, ......
(i) private placement of unregistered securities; . ... CIBC World Markets Corp . was fined $350K for failing to report to OATS over 28 million orders which ......
Prior to that time, he served as Director of the Private Debt Department at Smith .... private placements of securities, venture capital and private equity ......
In 1968 Mr. Goldberg founded Financial Data Planning Corp . ... off-shore, private placement , and the diverse requirements of corporate owned life insurance ......
In connection with the offering High Tech provided a Private Placement ..... 542-4242 Arkansas Securities Department (501) 324-9260 California Department of ......
Represented Investec in connection with the private placement in the U.S. ... of a California based public company in connection with an SEC and Department ......
... private placements of securities exempt from registration, venture capital ... California Office 401 West "A" Street, Suite 2330, San Diego, CA 92101 ......
In June 2000, the Company acquired all of the outstanding stock of Canterbury, a Chicago, Illinois based broker-dealer specializing in private placement ......
Meredith Corporation , et al. We represented The Meredith Corporation and .... various common law claims arising from a private placement engagement with San ......
Marc joined Cypress in 1998 and is responsible for the overall activities of Cypress Capital Corporation and broker/dealer relations. ......
Until recently, most private placements involving unregistered finders ran little ... The SEC and the California Department of Corporations (not to mention ......
Michigan Health Care Corporation — Represented three purchasers of significant .... sums arising from misrepresentations in a private placement memorandum. ......
"72 Reference to a typical private placement will illustrate the problem. Late in 1961 the Wall Street Journal reported that the Hertz Corporation had ......
Jan 7, 2008 ... As part of the private placement , management entered into a "make good" ... LLC is a FINRA-registered Broker/Dealer and SIPC Member Firm. ......
