DEAL WATCH: BROKER’S SECURITIES OFFERING CARRIES REGULATORY BAGGAGE: FIRST MONTAUK HAS STRING OF ARBITRATION LOSSES, BUT FIRM CLAIMS TO HAVE FIXED OVERSIGHT OF ITS SALES FORCE
A history of compliance issues isn't stopping a brokerage and investment banking boutique in Red Bank, N.J., from…
A history of compliance issues isn't stopping a brokerage and investment banking boutique in Red Bank, N.J., from going ahead with a rights offering that it says will help it acquire smaller competitors.
First Montauk Financial Corp., with some 350 brokers working on an independent contract basis a
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