United States securities law

Plus Products Announces New York City Launch Event

Retrieved on: 
Thursday, September 5, 2019
Communication, Forward-looking statement, Audit, Securities regulation in the United States, Business, SEC filings, United States securities law, Economy

The financial information included in this press release is not required for any regulatory purpose and is, therefore, provided solely for additional investor guidance.

Key Points: 
  • The financial information included in this press release is not required for any regulatory purpose and is, therefore, provided solely for additional investor guidance.
  • Where possible the information has been constructed by management from available unaudited interim financial information.
  • This press release includes statements containing certain forward-looking information within the meaning of applicable securities law (each, a forward-looking statement).
  • Various assumptions were used in drawing the conclusions or making the projections contained in the forward-looking statements throughout this press release.

Generational Equity Advises Atlantic Refrigeration in Sale to Sunday River

Retrieved on: 
Thursday, September 5, 2019
Professional services, Construction & Property, Finance, Consulting, Building Systems, Securities Investor Protection Corporation, United States securities law, Economy of the United States, Government, Federal government of the United States

Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client Atlantic Refrigeration of Hudson to Sunday River LLC.

Key Points: 
  • Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client Atlantic Refrigeration of Hudson to Sunday River LLC.
  • Located in Hudson, Massachusetts, Atlantic Refrigeration of Hudson is a company dedicated to providing refrigeration & HVAC emergency service, preventative maintenance, design and installation to the commercial market.
  • Sunday River LLC is committed to finding and growing established businesses that provide value to their customers, partners and employees with the utmost integrity.
  • Generational Equity , Generational Capital Markets (member FINRA/SIPC), Generational Wealth Advisors , and DealForce are part of the Generational Group , which is headquartered in Dallas and is one of the leading M&A advisory firms in North America.

OTC Markets Group Welcomes Monitronics International, Inc. to OTCQX

Retrieved on: 
Thursday, September 5, 2019
Finance, Money, Financial markets, Stock market, United States securities law, OTC Markets Group, Fixed income, Broker-dealer, OTC, Financial Industry Regulatory Authority, Securities Investor Protection Corporation, Security

"We are pleased to welcome Monitronics International, Inc. to OTCQX," said Jason Paltrowitz, Executive Vice President of Corporate Services at OTC Markets Group.

Key Points: 
  • "We are pleased to welcome Monitronics International, Inc. to OTCQX," said Jason Paltrowitz, Executive Vice President of Corporate Services at OTC Markets Group.
  • 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.
  • Through OTC Link ATS and OTC Link ECN, we connect a diverse network of broker-dealers that provide liquidity and execution services.
  • OTC Link ATS and OTC Link ECN are SEC regulated ATSs, operated by OTC Link LLC, member FINRA/SIPC.

Jumpstart Joins MERJ to Offer US Investors Regulated Exposure to Tokenized Securities

Retrieved on: 
Wednesday, September 4, 2019
Financial markets, Finance, Money, United States securities law, Security, Stock market, Financial Industry Regulatory Authority, Broker-dealer, Securities market participants, Depository Trust & Clearing Corporation

The move marks the first time in history that investors are able to invest in digital securities on a fully regulated national stock exchange.

Key Points: 
  • The move marks the first time in history that investors are able to invest in digital securities on a fully regulated national stock exchange.
  • "We see continued demand from institutional investors for tokenized securities and a growing interest from retail investors," said Jonathan Self, CEO of Jumpstart Securities.
  • As an end-to-end Regulated Market MERJ has established and administers rules for the listing, trading, clearing, and settlement of securities.
  • About Jumpstart:Formerly FundAmerica Securities, LLC, Jumpstart Securities is a broker-dealer registered with the SEC and is a member of FINRA.

Blumark's Jill Tullio Earns Series 24 Designation - Expanded Knowledge and Qualifications Will Better Serve Securities Clients

Retrieved on: 
Wednesday, September 4, 2019
United States securities law, Professional certification in finance, Economy, Finance, Financial services, General Securities Principal Exam, Financial Industry Regulatory Authority, Financial adviser, Adviser, Uniform Investment Adviser Law Exam

The General Securities Principal exam, commonly referred to as the Series 24 exam, is administered by FINRA.

Key Points: 
  • The General Securities Principal exam, commonly referred to as the Series 24 exam, is administered by FINRA.
  • Ms. Tullio, a founding Partner at Blumark, had these thoughts about achieving the Series 24 designation: "This builds on my background as a financial advisor.
  • It's necessary to expand your personal knowledge base and skills to support the growth and expansion of the business."
  • "Whenever we expand our knowledge and expertise and make personal improvements, we improve how we serve our clients.

Generational Equity Advises Patio Products Manufacturing in Sale to Pursuant Capital

Retrieved on: 
Wednesday, September 4, 2019
Consulting, Residential Building & Real Estate, Manufacturing, Construction & Property, Professional services, Other Manufacturing, Retail, Home Goods, Corporate finance, Securities Investor Protection Corporation, United States securities law, Mergers and acquisitions, Economy, Business

Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, Patio Products Manufacturing to Pursuant Capital.

Key Points: 
  • Generational Equity , a leading mergers and acquisitions advisor for privately held businesses, is pleased to announce the sale of its client, Patio Products Manufacturing to Pursuant Capital.
  • Patio Products Manufacturing , located in Tampa, Florida, is among the largest manufacturers in durable, high quality aluminum screen doors and accessories.
  • Pursuant Capital , located in Tampa, Florida, is a privately-financed search fund in pursuit of profitable small businesses to buy and operate for the long term.
  • Generational Equity , Generational Capital Markets (member FINRA/SIPC), Generational Wealth Advisors , and DealForce are part of the Generational Group , which is headquartered in Dallas and is one of the leading M&A advisory firms in North America.

TD Ameritrade Expands Voice-Enabled Services with the Google Assistant

Retrieved on: 
Wednesday, September 4, 2019
Technology, Mobile, Wireless, Finance, Banking, Professional services, Software, Audio, Video, Finance, Companies, Money, Investment banks, United States securities law, Toronto–Dominion Bank, TD Ameritrade, Subprime mortgage crisis, Financial Industry Regulatory Authority, Securities Investor Protection Corporation, TD, UBS

Starting today, once authenticated, TD Ameritrade clients can simply ask their Assistant by saying Hey Google, check my TD Ameritrade portfolio to gain insight into their current holdings, hands-free.

Key Points: 
  • Starting today, once authenticated, TD Ameritrade clients can simply ask their Assistant by saying Hey Google, check my TD Ameritrade portfolio to gain insight into their current holdings, hands-free.
  • TD Ameritrade provides investing services and education to more than 11 million client accounts totaling approximately $1.3 trillion in assets, and custodial services to more than 7,000 registered investment advisors.
  • Brokerage services provided by TD Ameritrade, Inc., member FINRA ( www.FINRA.org ) / SIPC ( www.SIPC.org )
    1TD Ameritrade, Inc. (TD Ameritrade) is a broker-dealer subsidiary of TD Ameritrade Holding Corporation.
  • Brokerage services provided by TD Ameritrade, Inc., member FINRA ( www.FINRA.org ) /SIPC ( www.SIPC.org )

LPL Financial Welcomes Financial Advisor Brian Gernant

Retrieved on: 
Tuesday, September 3, 2019
Finance, Money, Economy, United States securities law, Brokerage firms, LPL Financial, Registered Investment Adviser, Securities Investor Protection Corporation, Broker-dealer, Financial Industry Regulatory Authority, Financial adviser

CHARLOTTE, N.C., Sept. 03, 2019 (GLOBE NEWSWIRE) -- LPL Financial LLC , a leading retail investment advisory firm and independent broker-dealer, today announced that financial advisor Brian Gernant of Gernant Asset Management has joined LPL Financials broker-dealer and corporate registered investment advisor (RIA) platforms.

Key Points: 
  • CHARLOTTE, N.C., Sept. 03, 2019 (GLOBE NEWSWIRE) -- LPL Financial LLC , a leading retail investment advisory firm and independent broker-dealer, today announced that financial advisor Brian Gernant of Gernant Asset Management has joined LPL Financials broker-dealer and corporate registered investment advisor (RIA) platforms.
  • Gernant brings more than 36 years of financial services experience to LPL.
  • Read about other firms that recently joined LPL in the LPL Financial News and Media section of LPL.com.
  • Securities and advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC
    *Based on prior business and represents assets that would have been custodied at LPL Financial, rather than third-party custodians.

ROSEN, A HIGHLY RANKED LAW FIRM, Reminds Granite Construction Incorporated Investors of Important Deadline in Securities Class Action - GVA

Retrieved on: 
Saturday, August 31, 2019
Security, Stock market, Securities Class Action, Financial markets, United States securities law, Finance

NEW YORK, Aug. 31, 2019 (GLOBE NEWSWIRE) -- Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Granite Construction Incorporated (NYSE: GVA) from October 26, 2018 through August 1, 2019, inclusive (the Class Period) of the important October 15, 2019 deadline in the securities class action.

Key Points: 
  • NEW YORK, Aug. 31, 2019 (GLOBE NEWSWIRE) -- Rosen Law Firm, a global investor rights law firm, reminds purchasers of the securities of Granite Construction Incorporated (NYSE: GVA) from October 26, 2018 through August 1, 2019, inclusive (the Class Period) of the important October 15, 2019 deadline in the securities class action.
  • To join the Granite Construction class action, go to http://www.rosenlegal.com/cases-register-1654.html or call Phillip Kim, Esq.
  • 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.

OTC Markets Group Welcomes Bhang Inc. to OTCQX

Retrieved on: 
Friday, August 30, 2019
Finance, United States securities law, Money, OTC Markets Group, Economy, Financial markets, Securities Investor Protection Corporation, OTC, Financial Industry Regulatory Authority, Stock market, Over-the-counter

"Bhang Inc. joins the OTCQX Best Market, trading alongside companies that are innovators in the industry," said Jason Paltrowitz, EVP of Corporate Services at OTC Markets Group.

Key Points: 
  • "Bhang Inc. joins the OTCQX Best Market, trading alongside companies that are innovators in the industry," said Jason Paltrowitz, EVP of Corporate Services at OTC Markets Group.
  • "Trading on OTCQX provides Bhang Inc.'s investors with greater access to the company's financials, news and research reports.
  • 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.