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Fitzgibbon Toigo Associates LLC   

(FTCO), is a FINRA broker-dealer (www.finra.org) focused exclusively as placement agent for private equity, real estate, and hedge funds. ......

Experience & Qualifications   

Second round private placement for developer, marketer and seller of fortified juice .... Assisted a broker-dealer in obtaining its license from the NASD, ......

What Went Wrong   

(i) private placement of unregistered securities; . ... CIBC World Markets Corp . was fined $350K for failing to report to OATS over 28 million orders which ......

Hedge Funds | HedgeWorld | The Definitive Hedge Fund Community   

Prior to that time, he served as Director of the Private Debt Department at Smith .... private placements of securities, venture capital and private equity ......

Acadia Life Staff   

In 1968 Mr. Goldberg founded Financial Data Planning Corp . ... off-shore, private placement , and the diverse requirements of corporate owned life insurance ......

SEC Info - High Tech Travel Services Corp - SB-2 - On 10/16/00 ...   

In connection with the offering High Tech provided a Private Placement ..... 542-4242 Arkansas Securities Department (501) 324-9260 California Department of ......

Raphael S. Grunfeld, Partner - Carter Ledyard & Milburn LLP Attorney   

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 ......

James P. Jalil - Securities Attorneys - Broker Dealer Litigation ...   

... private placements of securities exempt from registration, venture capital ... California Office 401 West "A" Street, Suite 2330, San Diego, CA 92101 ......

OLYMPIC CASCADE FINANCIAL CORP - OLY Annual Report (10-K) ITEM 1 ...   

In June 2000, the Company acquired all of the outstanding stock of Canterbury, a Chicago, Illinois based broker-dealer specializing in private placement ......

Holland & Hart LLP   

Meredith Corporation , et al. We represented The Meredith Corporation and .... various common law claims arising from a private placement engagement with San ......

Cypress Leasing Corporation - Company Information: Personnel   

Marc joined Cypress in 1998 and is responsible for the overall activities of Cypress Capital Corporation and broker/dealer relations. ......

Shustak & Partners   

Until recently, most private placements involving unregistered finders ran little ... The SEC and the California Department of Corporations (not to mention ......

Foley & Lardner LLP   

Michigan Health Care Corporation — Represented three purchasers of significant .... sums arising from misrepresentations in a private placement memorandum. ......

JSTOR: The Private Placement Exemption: What to Do about a ...   

"72 Reference to a typical private placement will illustrate the problem. Late in 1961 the Wall Street Journal reported that the Hertz Corporation had ......

Energroup Holdings Corporation Acquires Chinese Pork Processor ...   

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. ......

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