United States securities law

OTC Markets Group Welcomes JD Bancshares, Inc. to OTCQX

Retrieved on: 
Monday, March 16, 2020
Finance, United States securities law, OTC Markets Group, Money, Stock market, Security, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Financial markets, Over-the-counter

NEW YORK, March 16, 2020 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today announced JD Bancshares, Inc. (OTCQX: JDVB), the parent company of JD Bank, has qualified to trade on the OTCQX Best Market.

Key Points: 
  • NEW YORK, March 16, 2020 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM), operator of financial markets for 10,000 U.S. and global securities, today announced JD Bancshares, Inc. (OTCQX: JDVB), the parent company of JD Bank, has qualified to trade on the OTCQX Best Market.
  • Graduating to the OTCQX Market marks an important milestone for community banks in the U.S. public markets.
  • About OTC Markets Group Inc.
    OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX Best Market, the OTCQB Venture Market and the Pink Open Market for 10,000 U.S. and global securities.
  • OTC Link ATS and OTC Link ECN are SEC regulated ATSs, operated by OTC Link LLC, member FINRA/SIPC.

ROSEN, A GLOBALLY RECOGNIZED FIRM, Reminds Allakos Inc. Investors of Important Deadline in Securities Class Action First Filed by the Firm – ALLK

Retrieved on: 
Friday, March 13, 2020
Legal, Professional services, Securities Class Action, Financial markets, Security, Law, 73rd United States Congress, U.S. Securities and Exchange Commission, United States securities law, Robbins Geller Rudman & Dowd LLP, Grant & Eisenhofer

Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Allakos Inc. (NASDAQ: ALLK) between August 5, 2019 through December 17, 2019, inclusive (the Class Period) of the important May 11, 2020 lead plaintiff deadline in the securities class action commenced by the firm.

Key Points: 
  • Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Allakos Inc. (NASDAQ: ALLK) between August 5, 2019 through December 17, 2019, inclusive (the Class Period) of the important May 11, 2020 lead plaintiff deadline in the securities class action commenced by the firm.
  • toll-free at 866-767-3653 or email [email protected] or [email protected] for information on the class action.
  • Rosen Law Firm represents investors throughout the globe, concentrating its practice in securities class actions and shareholder derivative litigation.
  • 1 by ISS Securities Class Action Services for number of securities class action settlements in 2017.

Generex Subsidiary NuGenerex Immuno-Oncology (Formerly Antigen Express) Files Form 10 Registration Statement with the Securities and Exchange Commission

Retrieved on: 
Thursday, March 12, 2020
U.S. Securities and Exchange Commission, Financial markets, United States securities law, SEC filings, 73rd United States Congress, Communication, Forward-looking statement, Agencies of the United States government, Securities Act, Securities regulation in the United States

The registration of NGIOs securities with the SEC provides investors detailed information, including an overview of business strategies and audited financial statements.

Key Points: 
  • The registration of NGIOs securities with the SEC provides investors detailed information, including an overview of business strategies and audited financial statements.
  • It is NGIOs intent to list its common stock on a national securities exchange upon meeting certain financial and regulatory requirements.
  • Generex President and CEO Joe Moscato said, We are happy to announce the filing of Form 10 Registration Statement for our subsidiary.
  • Generex claims the protection of the safe harbor for forward-looking statements that is contained in the Private Securities Litigation Reform Act.

ROSEN, NATIONAL INVESTOR COUNSEL, Reminds World Wrestling Entertainment, Inc. Investors of Important Deadline in Securities Class Action Lawsuit – WWE

Retrieved on: 
Thursday, March 12, 2020
Legal, Professional services, Financial markets, Securities Class Action, WWE, Securities regulation in the United States, Security, U.S. Securities and Exchange Commission, 73rd United States Congress, United States securities law, Milberg

Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of World Wrestling Entertainment, Inc. (NYSE: WWE) between February 7, 2019 and February 5, 2020, inclusive (the Class Period), of the important May 5, 2020 lead plaintiff deadline in the securities class action.

Key Points: 
  • Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of World Wrestling Entertainment, Inc. (NYSE: WWE) between February 7, 2019 and February 5, 2020, inclusive (the Class Period), of the important May 5, 2020 lead plaintiff deadline in the securities class action.
  • The lawsuit seeks to recover damages for WWE investors under the federal securities laws.
  • To join the WWE class action, go to http://www.rosenlegal.com/cases-register-1802.html or call Phillip Kim, Esq.
  • 1 by ISS Securities Class Action Services for number of securities class action settlements in 2017.

Apollo Medical Holdings, Inc. Reports Fourth Quarter and Year Ended December 31, 2019 Results

Retrieved on: 
Thursday, March 12, 2020
SEC filings, United States securities law, Financial regulation, International Financial Reporting Standards

When GAAP financial measures are viewed in conjunction with non-GAAP financial measures, investors are provided with a more meaningful understanding of ApolloMed's ongoing operating performance.

Key Points: 
  • When GAAP financial measures are viewed in conjunction with non-GAAP financial measures, investors are provided with a more meaningful understanding of ApolloMed's ongoing operating performance.
  • Non-GAAP financial measures are not intended to be considered in isolation, or as a substitute for, GAAP financial measures.
  • To the extent this release contains historical or future non-GAAP financial measures, the Company has provided corresponding GAAP financial measures for comparative purposes.
  • The amount of net (loss) income attributable to noncontrolling interests is disclosed in the Company's consolidated statements of income.

RenovaCare Announces New Corporate Headquarters and Laboratory Facilities

Retrieved on: 
Wednesday, March 11, 2020
Stock market, Financial markets, Communication, Forward-looking statement, Security, U.S. Securities and Exchange Commission, United States securities law, SEC filings

No statement herein should be considered an offer or a solicitation of an offer for the purchase or sale of any securities.

Key Points: 
  • No statement herein should be considered an offer or a solicitation of an offer for the purchase or sale of any securities.
  • This release contains forward-looking statements that are based upon current expectations or beliefs, as well as a number of assumptions about future events.
  • There can be no assurance that further research and development will validate and support the results of our preliminary research and studies.
  • You can obtain information about operation of the Public Reference Room by calling the U.S. Securities & Exchange Commission at 1-800-SEC-0330.

Ameritas announces RetireExpress(SM) portfolios

Retrieved on: 
Tuesday, March 10, 2020
United States securities law, Ameritas, Regions of the United States, United States, Lincoln, Nebraska, Financial Industry Regulatory Authority, NEBRASKA, Securities Investor Protection Corporation, Acacia Life Insurance Company, Union Central Life Insurance Company

LINCOLN, Neb., March 10, 2020 /PRNewswire/ -- Ameritas announces the launch of a new glide-path strategy for employer-sponsored retirement plans called RetireExpressSM.

Key Points: 
  • LINCOLN, Neb., March 10, 2020 /PRNewswire/ -- Ameritas announces the launch of a new glide-path strategy for employer-sponsored retirement plans called RetireExpressSM.
  • Later this year, plan sponsors will have the option to outsource administrative burdens through SimpleAdminSM from Ameritas.
  • Ameritasis a marketing name for Ameritas Mutual Holding Company and its affiliated subsidiary companies, including Ameritas Life Insurance Corp. and Ameritas Life Insurance Corp. of New York.
  • Securities and investment advisory services offered through affiliate Ameritas Investment Company LLC., member FINRA/SIPC and Ameritas Advisory Services.

Dresner Partners Advised Digital Intelligence Systems in a Strategic Investment Led by LNC partners

Retrieved on: 
Monday, March 9, 2020
Financial Industry Regulatory Authority, United States securities law, Investment banking, Economy, Financial services, Finance, Investment banks

CHICAGO, March 09, 2020 (GLOBE NEWSWIRE) -- Dresner Partners, a leading FINRA-registered, middle-market investment bank and Mergers Alliance member firm, is pleased to announce that it advised Digital Intelligence Systems, LLC (DISYS), a global staffing, IT consulting and managed services firm, in a strategic investment led by LNC Partners (LNC).

Key Points: 
  • CHICAGO, March 09, 2020 (GLOBE NEWSWIRE) -- Dresner Partners, a leading FINRA-registered, middle-market investment bank and Mergers Alliance member firm, is pleased to announce that it advised Digital Intelligence Systems, LLC (DISYS), a global staffing, IT consulting and managed services firm, in a strategic investment led by LNC Partners (LNC).
  • I would like to thank the Dresner Partners team for assisting DISYS in this financing, said Mahfuz Ahmed, Founder and CEO of DISYS.
  • The strategic investment from LNC will further align DISYS capital structure and prepare it for the next phase of its development.
  • Steven M. Dresner, President of Dresner Partners added, The strategic investment from LNC well positions DISYS for the future.

CUSO Financial Services Founders Valorie Seyfert and Amy Beattie Named to BISA Circle of Excellence / Atria's Kevin Beard Named to BISA D&I Committee

Retrieved on: 
Monday, March 9, 2020
United States securities law, Financial markets, Finance, Money, Brokerage firms, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Broker-dealer, Atria, Cuso International, Seyfert

The Circle of Excellence is BISA's most prestigious award, honoring extraordinary leaders for their long-term commitment to the profession and the association.

Key Points: 
  • The Circle of Excellence is BISA's most prestigious award, honoring extraordinary leaders for their long-term commitment to the profession and the association.
  • "We are incredibly honored and humbled to be named to the BISA Circle of Excellence," said Seyfert.
  • In addition to these Circle of Excellence honors, Atria's Chief Growth Officer and Founding Partner Kevin Beard was named to BISA's Diversity and Inclusion Committee.
  • CUSO Financial Services, L.P. and Sorrento Pacific Financial, LLC (Members FINRA / SIPC ) are full-service broker-dealers and subsidiaries of Atria Wealth Solutions.

Securities Training Corporation Appoints Ed Clark as President

Retrieved on: 
Monday, March 9, 2020
Insurance, Finance, Other Education, Banking, Continuing, Professional services, Education, Training, United States securities law, Financial Industry Regulatory Authority, Law

Securities Training Corporation (STC), the market leader in securities training, today announced that Ed Clark has joined the company as President.

Key Points: 
  • Securities Training Corporation (STC), the market leader in securities training, today announced that Ed Clark has joined the company as President.
  • Clark is a senior executive with extensive experience in P&L management, strategic planning, sales, marketing, operations, and mergers and acquisitions.
  • STC is a dynamic market leader with a compelling combination of legacy and innovation, said Ed Clark.
  • Founded on Wall Street in 1969, Securities Training Corporation (STC) has successfully helped over 1,000,000 professionals pass FINRA regulatory exams and launch their careers.