The regulator said he misrepresented $50 million private offering that later went into default
The law firm, which is representing the real estate investor in a number of cases, cites a breakdown in communication and failure to pay legal fees.
For former fundraising powerhouse that fell on hard times after the real estate crash, a share listing could be “good event.”
LPL gets back in the broker-dealer M&A hunt, adding to their retirement arm via Financial Telesis' 470 reps and RIA.
Gives SEC another month to act on proposal.
B-D says new deal will result in cost savings comparable to what it would have realized had it moved clearing in house.
The indie B-D behemoth is facing more turnover at the top, this time among its team of investment management professionals.
RCS Capital has plenty of leverage as it negotiates with the clearing giant, but millions of dollars hang in the balance. <b><i>More: <a href="http://www.investmentnews.com/section/specialreport/20140810/CLEAR">The latest clearing and custody trends</a></b></i>
Star broker has moved to Wunderlich Securities following termination.
Burt White is sticking to his previous call that stocks will produce 10% gains in 2014, with room potentially to move slightly higher.
