United States securities law

ATTENTION NORTHSTAR FINANCIAL SERVICES (BERMUDA) INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation of Potential Claims on Behalf of BANKOH INVESTMENT SERVICES CUSTOMERS

Retrieved on: 
Monday, August 2, 2021
United States securities law, Financial Industry Regulatory Authority, Securities fraud, United States Securities Regulation, Regulation, Financial markets, Law

HONOLULU, Aug. 02, 2021 (GLOBE NEWSWIRE) -- National investor fraud law firm, KlaymanToskes (KT), commences an investigation of potential FINRA arbitration claims on behalf of investors who sustained losses exceeding $250,000 in Northstar Financial Services (Bermuda) (Northstar) purchased through Bank of Hawaiis (NYSE: BOH) subsidiary, Bankoh Investment Services.

Key Points: 
  • HONOLULU, Aug. 02, 2021 (GLOBE NEWSWIRE) -- National investor fraud law firm, KlaymanToskes (KT), commences an investigation of potential FINRA arbitration claims on behalf of investors who sustained losses exceeding $250,000 in Northstar Financial Services (Bermuda) (Northstar) purchased through Bank of Hawaiis (NYSE: BOH) subsidiary, Bankoh Investment Services.
  • In 2019, Northstar owner Greg Lindberg was indicted on federal wire fraud and bribery charges, and he is currently serving in prison after his conviction last year.
  • The sole purpose of this release is to investigate potential FINRA arbitration claims relating to Bankoh Investment Services sales practices concerning Northstar Financial Services (Bermuda).
  • KT is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters.

ATTENTION NORTHSTAR FINANCIAL SERVICES (BERMUDA) INVESTORS: The Securities Arbitration Law Firm of KlaymanToskes Commences Investigation of Potential Claims on Behalf of COMMUNITYAMERICA FINANCIAL SOLUTIONS CUSTOMERS

Retrieved on: 
Monday, August 2, 2021
United States securities law, Financial markets, Financial Industry Regulatory Authority, Stock market, Securities fraud, United States Securities Regulation, Security, Finance, Regulation

KANSAS CITY, Aug. 02, 2021 (GLOBE NEWSWIRE) -- National investor fraud law firm, KlaymanToskes (KT), has commenced an investigation of potential FINRA arbitration claims on behalf of investors who sustained losses exceeding $250,000 in Northstar Financial Services (Bermuda) (Northstar) purchased through CommunityAmerica Financial Solutions (CommunityAmerica) and other full-service brokerage firms.

Key Points: 
  • KANSAS CITY, Aug. 02, 2021 (GLOBE NEWSWIRE) -- National investor fraud law firm, KlaymanToskes (KT), has commenced an investigation of potential FINRA arbitration claims on behalf of investors who sustained losses exceeding $250,000 in Northstar Financial Services (Bermuda) (Northstar) purchased through CommunityAmerica Financial Solutions (CommunityAmerica) and other full-service brokerage firms.
  • In 2019, Northstar owner Greg Lindberg was indicted on federal wire fraud and bribery charges, and he is currently serving in prison after his conviction last year.
  • The sole purpose of this release is to investigate potential FINRA arbitration claims relating to CommunityAmericas sales practices concerning Northstar Financial Services (Bermuda).
  • KT is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters.

LPL Financial Welcomes Capstone Financial Partners

Retrieved on: 
Monday, August 2, 2021
Finance, Money, United States securities law, LPL Financial, Economy, Financial adviser, Financial Industry Regulatory Authority, Registered Investment Adviser, Securities Investor Protection Corporation, QNB Bank

CHARLOTTE, N.C., Aug. 02, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq:LPLA)announced today that financial advisors Robert Allen, MBA, ChFC, CLU, Marcel Morin, AIF, CLTC, CFS, and April Davis of Capstone Financial Partners have joined LPL Financials broker-dealer, corporate registered investment advisor (RIA) and custodial platforms.

Key Points: 
  • CHARLOTTE, N.C., Aug. 02, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq:LPLA)announced today that financial advisors Robert Allen, MBA, ChFC, CLU, Marcel Morin, AIF, CLTC, CFS, and April Davis of Capstone Financial Partners have joined LPL Financials broker-dealer, corporate registered investment advisor (RIA) and custodial platforms.
  • LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.
  • Member FINRA/ SIPC
    Throughout this communication, the terms financial advisors and advisors are used to refer to registered representatives and/or investment advisor representatives affiliated with LPL Financial LLC.
  • Capstone Financial Partners and LPL Financial are separate entities.

LPL Financial Lowers Advisory Account Minimums

Retrieved on: 
Monday, August 2, 2021
Finance, Brokerage firms, Money, Financial markets, United States securities law, LPL Financial, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Financial adviser, Broker-dealer, QNB Bank

As the industry continues to shift from brokerage to advisory, it is important to have advisory opportunities for all types of investors, said Rob Pettman, LPL executive vice president, Wealth Management Solutions.

Key Points: 
  • As the industry continues to shift from brokerage to advisory, it is important to have advisory opportunities for all types of investors, said Rob Pettman, LPL executive vice president, Wealth Management Solutions.
  • The LPL advisory platform is made up of a suite of six multi-manager funds, featuring more than 10 leading subadvisors and institutional money managers.
  • LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around.
  • Securities and advisory services offered through LPL Financial LLC, an SEC- registered broker-dealer and investment advisor.Member FINRA/SIPC.

Interactive Brokers Group Reports Brokerage Metrics and Other Financial Information for July 2021, Includes Reg.-NMS Execution Statistics

Retrieved on: 
Monday, August 2, 2021
Banking, Professional services, Finance, Finance, Greenwich, Connecticut, Interactive Brokers, Financial markets, Investment, Brokerage firms, United States securities law, SEC filings

Note 1: Daily Average Revenue Trades (DARTs) customer orders divided by the number of trading days in the period.

Key Points: 
  • Note 1: Daily Average Revenue Trades (DARTs) customer orders divided by the number of trading days in the period.
  • Barrons ranked Interactive Brokers #1 with 5 out of 5 stars in its February 26, 2021, Best Online Broker Review.
  • Any forward-looking statements in this release are based upon information available to the company on the date of this release.
  • Additional information on risk factors that could potentially affect the company's financial results July be found in the company's filings with the Securities and Exchange Commission.

LOSS NOTICE: ROSEN, A TOP RANKED LAW FIRM, Encourages RenovaCare, Inc. Investors with Losses Over $100K to Secure Counsel Before Important September 14 Deadline in Securities Class Action - RCAR

Retrieved on: 
Friday, July 30, 2021
Stock market, Lawsuits, Securities Class Action, Security, Class action, United States securities law, Grant & Eisenhofer

WHAT TO DO NEXT: To join the RenovaCare class action, go to http://www.rosenlegal.com/cases-register-2123.html or call Phillip Kim, Esq.

Key Points: 
  • WHAT TO DO NEXT: To join the RenovaCare class action, go to http://www.rosenlegal.com/cases-register-2123.html or call Phillip Kim, Esq.
  • WHY ROSEN LAW: We encourage investors to select qualified counsel with a track record of success in leadership roles.
  • The 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.

Grand City Properties S.A.: Disclosure of the total number of voting rights and capital, in accordance with the law and Grand-ducal regulation of 11 January 2008 on transparency requirements for issue

Retrieved on: 
Friday, July 30, 2021
Corporate governance, European Union law, Transparency Directive, U.S. Securities and Exchange Commission, United States securities law, Crowdfunding

Grand City Properties S.A.: Disclosure of the total number of voting rights and capital, in accordance with the law and Grand-ducal regulation of 11 January 2008 on transparency requirements for issue

Key Points: 
  • Grand City Properties S.A.: Disclosure of the total number of voting rights and capital, in accordance with the law and Grand-ducal regulation of 11 January 2008 on transparency requirements for issue
    Dissemination of a Regulatory Announcement, transmitted by EQS Group.
  • Grand City Properties S.A.: Disclosure of the total number of voting rights and capital, in accordance with the law and Grand-ducal regulation of 11 January 2008 on transparency requirements for issuers of securities, as amended
    Disclosure of the total number of voting rights and capital, in accordance with the law and Grand-ducal regulation of 11 January 2008 on transparency requirements for issuers of securities, as amended
    4.
  • Total number of voting rights attached to the shares composing the share capital of the notifying issuer, including the suspended voting rights
    5.
  • Total number of voting rights, excluding suspended voting rights (exercisable voting rights) (optional)

Greg Gates Named Managing Director, Chief Technology & Information Officer for LPL Financial

Retrieved on: 
Friday, July 30, 2021
Finance, Money, United States securities law, LPL Financial, Economy, Financial adviser, Financial Industry Regulatory Authority, Securities Investor Protection Corporation, Financial technology, LPL

CHARLOTTE, N.C., July 30, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq:LPLA)announced today that Greg Gates has been named managing director and Chief Technology & Information Officer, effective immediately.

Key Points: 
  • CHARLOTTE, N.C., July 30, 2021 (GLOBE NEWSWIRE) -- LPL Financial LLC (Nasdaq:LPLA)announced today that Greg Gates has been named managing director and Chief Technology & Information Officer, effective immediately.
  • In this role, Gates will oversee all aspects of the firms technology and systems applications, leading the firms efforts to deliver a differentiated technology experience for LPL advisors, RIAs and institutions, and their clients.
  • Gates joined LPL in 2018 with nearly two decades of senior-level FinTech management experience in technology strategy, including creation, development and delivery.
  • Member FINRA/ SIPC
    Throughout this communication, the terms financial advisors and advisors are used to refer to registered representatives and/or investment advisor representatives affiliated with LPL Financial LLC.

Fairfax India Holdings Corporation: Second Quarter Financial Results

Retrieved on: 
Thursday, July 29, 2021
Finance, Financial markets, Money, Stock market, Fairfax Financial, Security, Financial statement, Issuer, International Financial Reporting Standards, United States securities law

TORONTO, July 29, 2021 (GLOBE NEWSWIRE) -- Fairfax India Holdings Corporation (TSX: FIH.U) announces net earnings of $224.9 million in the second quarter of 2021 ($1.43 net earnings per diluted share), compared to net earnings of $52.4 million in the second quarter of 2020 ($0.35 net earnings per diluted share), reflecting increased net realized and unrealized gains on investments, partially offset by increased performance fees, provision for income taxes, and net foreign exchange losses.

Key Points: 
  • The financial results are prepared using the recognition and measurement requirements of International Financial Reporting Standards, except as otherwise noted, and are unaudited.)
  • Fairfax India remains in strong financial health, with undeployed cash and marketable securities of approximately $300 million.
  • The substantial issuer bid offer is expected to expire on August 6, 2021, unless the offer is extended or withdrawn by Fairfax India.
  • Fairfax Financial Holdings does not intend to tender any shares to the substantial issuer bid.

ACRX FINAL DEADLINE: ROSEN, A LEADING LAW FIRM, Encourages AcelRx Pharmaceuticals, Inc. Investors with Losses in Excess of $100K to Secure Counsel Before Important August 9 Deadline in Securities Class Action – ACRX

Retrieved on: 
Thursday, July 29, 2021
Stock market, Lawsuits, Securities Class Action, Security, Class action, Law, United States securities law, David H. Webber, Grant & Eisenhofer

WHAT TO DO NEXT: To join the AcelRx class action, go to http://www.rosenlegal.com/cases-register-2106.html or call Phillip Kim, Esq.

Key Points: 
  • WHAT TO DO NEXT: To join the AcelRx class action, go to http://www.rosenlegal.com/cases-register-2106.html or call Phillip Kim, Esq.
  • WHY ROSEN LAW: We encourage investors to select qualified counsel with a track record of success in leadership roles.
  • The 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.