United States securities law

ROSEN, A LEADING INVESTOR RIGHTS LAW FIRM, Encourages Ocugen, Inc. Investors with Losses Exceeding $100K to Secure Counsel Before Important Deadline in Securities Class Action – OCGN

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

WHAT TO DO NEXT: To join the Ocugen class action, go to http://www.rosenlegal.com/cases-register-2107.html or call Phillip Kim, Esq.

Key Points: 
  • WHAT TO DO NEXT: To join the Ocugen class action, go to http://www.rosenlegal.com/cases-register-2107.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.

Harbor Custom Development, Inc. Signs Term Sheets for Credit Facilities Totaling $158,400,000 with US Capital Global

Retrieved on: 
Thursday, July 29, 2021
Finance, Financial Industry Regulatory Authority, United States securities law, Financial services, Primary dealers, Subprime mortgage crisis

We are delighted to enter into a relationship with US Capital Global which has the ability to provide us construction financing on a national scale.

Key Points: 
  • We are delighted to enter into a relationship with US Capital Global which has the ability to provide us construction financing on a national scale.
  • US Capital Global fills a key role by offering a one stop shop for our land development and vertical construction financing needs, stated Sterling Griffin, President and CEO of Harbor Custom Homes.
  • Harbor has active or recently sold-out residential communities in Gig Harbor, Bremerton, Silverdale, Bainbridge Island, and Allyn in the state of Washington.
  • The US Capital Global group manages direct investment funds and provides wealth management and capital raise services through its affiliates, including US Capital Global Investment Management LLC, US Capital Global Wealth Management LLC, and its FINRA-registered broker-dealer, US Capital Global Securities LLC.

New Senior Announces Second Quarter 2021 Results

Retrieved on: 
Friday, July 30, 2021
REIT, Finance, Professional services, Residential Building & Real Estate, Construction & Property, Financial statements, United States securities law, Management accounting, Valuation

We consider certain non-GAAP financial measures to be useful supplemental measures of our operating performance for management and investors.

Key Points: 
  • We consider certain non-GAAP financial measures to be useful supplemental measures of our operating performance for management and investors.
  • As a result, many industry investors look to non-GAAP financial measures for supplemental information about real estate companies.
  • Additionally, non-GAAP measures are not intended to be a measure of our ability to satisfy our debt and other cash requirements.
  • We believe Normalized FAD is useful because it fully reflects the additional economic costs of maintaining the condition of the portfolio.

Ashford Securities Raises Over $2.1 Million For Its First Investment Product During July 2021

Retrieved on: 
Friday, July 30, 2021
Finance, United States securities law, Money, Financial markets, Brokerage firms, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Broker-dealer

Launched on July 9, 2021, Ashford Securities has already raised more than $2.1 million in total capital, including over $1.6 million from 10 syndicate member firms at the first retail close and an additional $500,000 from friends and family investors.

Key Points: 
  • Launched on July 9, 2021, Ashford Securities has already raised more than $2.1 million in total capital, including over $1.6 million from 10 syndicate member firms at the first retail close and an additional $500,000 from friends and family investors.
  • "We are extremely excited by the high level of interest expressed by broker dealers and RIA's in our first investment product," commented C. Jay Steigerwald III,President,Head of Distribution, Ashford Securities LLC.
  • Ashford Securities, member FINRA/SIPC, is an SEC-registered broker-dealer that is wholly-owned by Ashford Inc. (NYSE American: AINC) and serves as the distributor for investment products within the Ashford group of companies.
  • Ashford provides global asset management, investment management and related services to the real estate and hospitality sectors.

OTC Markets Group Announces Second Quarter Earnings Conference Call and Webcast

Retrieved on: 
Thursday, July 29, 2021
Finance, Money, Financial markets, United States securities law, OTC Markets Group, Stock market, Broker-dealer, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Over-the-counter, Electronic communication network

NEW YORK, July 29, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM) today announced it will report its financial results for the second quarter ended June 30, 2021, after the close of the U.S. capital markets on Wednesday, August 04, 2021.

Key Points: 
  • NEW YORK, July 29, 2021 /PRNewswire/ -- OTC Markets Group Inc. (OTCQX: OTCM) today announced it will report its financial results for the second quarter ended June 30, 2021, after the close of the U.S. capital markets on Wednesday, August 04, 2021.
  • In addition, the Company will host a conference call and webcast on Thursday, August 05, 2021, at 8:30 a.m. Eastern Time, during which management will discuss the financial results in further detail.
  • 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.

Rodo Completes $18 Million Series B Financing Exclusively Advised by The Presidio Group

Retrieved on: 
Wednesday, July 28, 2021
Technology, Aftermarket, Finance, Automotive, General Automotive, Banking, Professional services, Other Automotive, Software, United States securities law, Securities Investor Protection Corporation, Financial Industry Regulatory Authority, Finance, Government, Money, Rodo, Presidio, RODO, PRESIDIO

The Series B financing was led by Holman Enterprises (Holman) and Evolution VC Partners (Evolution).

Key Points: 
  • The Series B financing was led by Holman Enterprises (Holman) and Evolution VC Partners (Evolution).
  • This additional Series B financing will allow Rodo to scale its network nationwide and invest in marketing and customer acquisition.
  • The Presidio Group provided exclusive financial advisory services to Rodo through its wholly owned investment bank, Presidio Merchant Partners LLC.
  • Presidio Merchant Partners LLC is a subsidiary of The Presidio Group LLC and is a member of FINRA and SIPC.

Cornerstone Research: Number of Securities Class Action Filings Falls to Lowest Level Since 2015

Retrieved on: 
Wednesday, July 28, 2021
Financial markets, United States securities law, Agencies of the United States government, 73rd United States Congress, U.S. Securities and Exchange Commission, Cornerstone Research, United States Securities Regulation, Securities Class Action, Class action, Securities Act, Regulation S-K, Blue sky law

This was the lowest number of filings since the first half of 2015, according to a report released today by Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse .

Key Points: 
  • This was the lowest number of filings since the first half of 2015, according to a report released today by Cornerstone Research and the Stanford Law School Securities Class Action Clearinghouse .
  • Federal and state court class actions alleging claims under the Securities Act of 1933 also declined, continuing the trend observed in 2020.
  • The report also found a sharp decline in the number of 1933 Act filings in state rather than federal court, continuing the trend observed in the Securities Class Action Filings2020 Year in Review .
  • "The better the market for investors, the worse the market for class action securities lawyers," observed Joseph A. Grundfest , director of the Stanford Law School Securities Class Action Clearinghouse, and a former commissioner of the Securities and Exchange Commission.

State Street Global Advisors Survey: Majority of Investors Don’t Fully Understand Investment Costs

Retrieved on: 
Tuesday, July 27, 2021
Other Consumer, Women, Finance, Consulting, Banking, MEN, Professional services, Family, Consumer, Other Professional Services, Finance, United States securities law, Money, Economy, Exchange-traded funds, State Street Global Advisors, Securities Investor Protection Corporation, Financial adviser, Adviser, Financial Industry Regulatory Authority, Municipal Securities Rulemaking Board, State Street Global Advisors Low-Cost Investing Survey, SPDR Exchange Traded Funds, State Street Global Advisors, STATE STREET GLOBAL ADVISORS LOW-COST INVESTING SURVEY, SPDR EXCHANGE TRADED FUNDS, STATE STREET GLOBAL ADVISORS

(State Street Global Advisors Low-Cost Investing Survey)

Key Points: 
  • (State Street Global Advisors Low-Cost Investing Survey)
    Confusion exists about how investors pay for both investment products and the guidance they receive from an advisor.
  • While the overall awareness of costs at the investment product level seems to be high, understanding of what the specific costs actually are is low.
  • For four decades, State Street Global Advisors has served the worlds governments, institutions and financial advisors.
  • Distributor: State Street Global Advisors Funds Distributors, LLC, member FINRA, SIPC, an indirect wholly owned subsidiary of State Street Corporation.

VYNE Therapeutics to Report Second Quarter 2021 Financial Results on August 12, 2021

Retrieved on: 
Tuesday, July 27, 2021
Regulation Fair Disclosure, U.S. Securities and Exchange Commission, United States securities law, Dermatology

A replay of the call will be archived on the Companys website at www.vynetherapeutics.com after the conference call.

Key Points: 
  • A replay of the call will be archived on the Companys website at www.vynetherapeutics.com after the conference call.
  • VYNEs mission is to improve the lives of patients by developing proprietary, innovative and differentiated therapies in dermatology and beyond.
  • For more information about VYNE Therapeutics Inc. or its investigational products, visit www.vynetherapeutics.com or follow VYNE on Twitter.
  • VYNE may use its website to comply with its disclosure obligations under Regulation FD.

ROSEN, A TOP RANKED LAW FIRM, Encourages CarLotz, Inc. Investors with Losses Over $100K to Secure Counsel Before Important September 7 Deadline in Securities Class Action – LOTZ, LOTZW

Retrieved on: 
Tuesday, July 27, 2021
Stock market, Lawsuits, Securities Class Action, Security, Class action, United States securities law, Grant & Eisenhofer

WHAT TO DO NEXT: To join the CarLotz class action, go to http://www.rosenlegal.com/cases-register-2118.html or call Phillip Kim, Esq.

Key Points: 
  • WHAT TO DO NEXT: To join the CarLotz class action, go to http://www.rosenlegal.com/cases-register-2118.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.