FINRA

Realta Wealth Names Experienced Finance Leader Tim Bowman As Chief Financial Officer

Retrieved on: 
Tuesday, March 12, 2024
Series 4, Certified Public Accountant, Growth, Finance, CFO, Bowman, Accounting, Executive Committee, KCG Holdings, FP, FINRA, CPA, Management

WILMINGTON, Del., March 12, 2024 /PRNewswire/ -- Realta Wealth, an exclusive independent wealth management firm, announced the appointment of Tim Bowman, CPA, as Chief Financial Officer to help the firm's executive team deliver on its growth vision and strategy. He reports to Realta Wealth CEO Kevin Keefe.

Key Points: 
  • Seasoned Leader to Drive Growth, Strengthen Firm Leadership as it Builds on Rebrand Efforts
    WILMINGTON, Del., March 12, 2024 /PRNewswire/ -- Realta Wealth, an exclusive independent wealth management firm, announced the appointment of Tim Bowman, CPA, as Chief Financial Officer to help the firm's executive team deliver on its growth vision and strategy.
  • "Tim has a stellar track record of helping financial services firms achieve outsized growth, and doing so with fiscally sound approaches," Keefe said.
  • Bowman will oversee all of Realta's financial operations, including accounting, FP&A, commissions, and financial reporting.
  • Bowman is a Certified Public Accountant and holds multiple FINRA licenses, including Series 4, 7, 24, 27, and 63.

Pacific Oak Capital Markets Hires Jim Sears as Senior Regional Vice President for the Four Corners Territory

Retrieved on: 
Monday, March 11, 2024
Black Creek Group, Transamerica, True Life, FINRA, American International Group, Financial adviser

LOS ANGELES, March 11, 2024 /PRNewswire/ -- Pacific Oak Capital Markets, LLC , an alternative investment distributor, announced today that financial services industry veteran Jim Sears has joined the company as senior regional vice president.

Key Points: 
  • LOS ANGELES, March 11, 2024 /PRNewswire/ -- Pacific Oak Capital Markets, LLC , an alternative investment distributor, announced today that financial services industry veteran Jim Sears has joined the company as senior regional vice president.
  • In his new position, Sears will be responsible for building and maintaining relationships with financial intermediaries throughout Arizona, Colorado, Nebraska, New Mexico and Utah.
  • "We are very excited to welcome a seasoned professional of Jim's caliber to the Pacific Oak team," said Jeff Kremin, president and managing director of distribution for Pacific Oak Capital Markets.
  • Sears brings more than 25 years' experience developing key relationships among professional investment advisors and has raised more than $600 million in capital through various offerings and sales cycles.

NCLA Asks Sixth Circuit to Free FINRA Hostage from SEC’s ‘Hotel California’ Adjudication Regime

Retrieved on: 
Thursday, March 7, 2024
Court, CSSC, Life, NCLA, Hotel California, FINRA, Financial Industry Regulatory Authority

NCLA urges the Court to compel SEC to set aside FINRA’s disciplinary decision, or at least require the agency to rule on his appeal within 30 days.

Key Points: 
  • NCLA urges the Court to compel SEC to set aside FINRA’s disciplinary decision, or at least require the agency to rule on his appeal within 30 days.
  • FINRA cannot legally regulate or discipline Mr. Smith or his company, Consulting Services Support Corporation (CSSC), as they have never been FINRA members.
  • There will be no end in sight, unless the Sixth Circuit grants relief.
  • Since FINRA and SEC demand enforcement targets play by their rules, maybe they should try doing the same.”

PickleJar Confirms Completion of Its Two-Year Audit and Applies for FINRA Name Change

Retrieved on: 
Wednesday, March 6, 2024
PCAOB, OTC, Management, Confusion, FINRA

HOUSTON, TX, March 06, 2024 (GLOBE NEWSWIRE) -- via NewMediaWire –  PickleJar Entertainment Group (OTC:NREG f/k/a NewRegen, Inc.), a leading Texas-based music and entertainment software company, is pleased to announce the successful completion of a two-year audit under PCAOB standards for the year ended December 31, 2022 and for the period from inception through December 31, 2021. The audit was conducted by Fruci & Associates (“Fruci”), an Independent PCAOB registered Public Accounting Firm known for its expertise in accounting and auditing. Additionally, the Company is in the application process for name and ticker change with FINRA (the "Financial Industry Regulatory Authority" corporation).

Key Points: 
  • The audit was conducted by Fruci & Associates (“Fruci”), an Independent PCAOB registered Public Accounting Firm known for its expertise in accounting and auditing.
  • Additionally, the Company is in the application process for name and ticker change with FINRA (the "Financial Industry Regulatory Authority" corporation).
  • The completion of the audit is a significant milestone for PickleJar as it emphasizes the company's commitment to corporate governance, the highest accounting standards, and transparency to its shareholders.
  • The Company’s 2024 audit is already underway with the goal of achieving fully reporting status; PickleJar has adopted NREG’s fiscal year of January 31.

Freedom Holdings Corporate Update: Management Announces Glendale Securities, Inc. Received Notification That the FINRA Review of The Form 211 Application Has Been Completed

Retrieved on: 
Monday, March 4, 2024
OTC, Documentation, FINRA, QB, Freedom, Security (finance)

CHATSWORTH, Calif., March 04, 2024 (GLOBE NEWSWIRE) -- Freedom Holdings, Inc. aka Freedom Acquisition Corp (OTC: FHLD) ("FHLD" or the "Company") is pleased to announce that Glendale Securities, Inc., received notice from FINRA that they have completed the Form 211 review.

Key Points: 
  • CHATSWORTH, Calif., March 04, 2024 (GLOBE NEWSWIRE) -- Freedom Holdings, Inc. aka Freedom Acquisition Corp (OTC: FHLD) ("FHLD" or the "Company") is pleased to announce that Glendale Securities, Inc., received notice from FINRA that they have completed the Form 211 review.
  • The Company will be working with OTC Markets making application to gain a QB status on the OTC Markets board as soon as possible.
  • Freedom is planning on being listed as QB on the OTC Markets board by the beginning of MARCH.
  • Once Freedom has completed its first Quarter filing, we shall begin the QB market application.

ZeroFox to Exhibit and Present at FS-ISAC Americas Spring Summit

Retrieved on: 
Friday, March 1, 2024
Very important person, Social media, ZeroFox, Data collection, PCI DSS, Risk, Conference, FFIEC, FINRA, Organization, Automation, Finance, PII, Theft, PCI, Risk management

WASHINGTON, March 01, 2024 (GLOBE NEWSWIRE) -- ZeroFox (Nasdaq: ZFOX), an enterprise software-as-a-service leader in external cybersecurity, will exhibit and present at the FS-ISAC 2024 Americas Spring Summit from March 3-6.

Key Points: 
  • WASHINGTON, March 01, 2024 (GLOBE NEWSWIRE) -- ZeroFox (Nasdaq: ZFOX), an enterprise software-as-a-service leader in external cybersecurity, will exhibit and present at the FS-ISAC 2024 Americas Spring Summit from March 3-6.
  • Financial services institutions are a prime target due to the vast amount of sensitive information and PII data they store, further compounding their risk.
  • Safeguard Key Personnel – Rapidly Identify and take down fraudulent social media accounts, impersonations, or malicious content targeting your executives and VIPs.
  • For all media inquiries related to ZeroFox, or to schedule a meeting during FS-ISAC Americas, please email [email protected].

brooqLy, Inc enters into an Agreement with CIM Securities to raise up to $3,000,000 in Funding

Retrieved on: 
Wednesday, February 28, 2024
CIM, OTC, Common stock, Rule, Regulation D, FINRA, Commission, Broker-dealer, Security (finance)

PALOS HILLS, Ill., Feb. 28, 2024 (GLOBE NEWSWIRE) -- brooqLy, Inc (OTC: BRQL), an innovative technology company, reported today that it has entered into an engagement agreement with CIM Securities, LLC, a FINRA member broker-dealer as the Managing Placement Agent to raise up to $3,000,000 in a Regulation D, Rule 506(c) offering open only to verified accredited investors.

Key Points: 
  • PALOS HILLS, Ill., Feb. 28, 2024 (GLOBE NEWSWIRE) -- brooqLy, Inc (OTC: BRQL), an innovative technology company, reported today that it has entered into an engagement agreement with CIM Securities, LLC, a FINRA member broker-dealer as the Managing Placement Agent to raise up to $3,000,000 in a Regulation D, Rule 506(c) offering open only to verified accredited investors.
  • The shares of Common Stock sold in this Offering will not be registered under the Securities Act of 1933, as amended, in reliance upon an exemption from securities registration afforded by the provisions of Regulation D, and Rule 506(c), as promulgated by the Commission under the Securities Act.
  • Regulation D Rule 506(c) is for accredited investors only.
  • THE PRELIMINARY OFFERING MATERIALS BEING USED BY CIM SECURITIES CAN BE LOCATED ON OUR WEBSITE AT THE FOLLOWING:

LeapCharger Comments on Trading Restriction, Prepares to File 211 Application With FINRA

Retrieved on: 
Wednesday, February 28, 2024
Social media, EV, OTC Markets Group, OTC, LCCN, Learning, History, FINRA

At the close of trading on February 16, 2024, OTC Markets Group, Inc. (“OTC”) placed a trading restriction on the Company’s securities.

Key Points: 
  • At the close of trading on February 16, 2024, OTC Markets Group, Inc. (“OTC”) placed a trading restriction on the Company’s securities.
  • "We are committed to resolving these issues swiftly and efficiently," stated Praveenkumar Vijayakumar, CEO of LeapCharger.
  • Upon successful completion of the 211 process with FINRA, the Company’s stock will be proprietary quote eligible, which we believe will significantly enhance investor confidence,” added Vijayakumar.
  • Additional information regarding the removal of the trading restriction by OTC and the progress of the Form 211 application will be provided by LeapCharger as such updates become available.

BriaCell Provides Update on Alleged Illegal Trading of Public Securities

Retrieved on: 
Tuesday, February 27, 2024
TSX, Therapy, CIRO, FINRA

PHILADELPHIA and VANCOUVER, British Columbia, Feb. 27, 2024 (GLOBE NEWSWIRE) -- BriaCell Therapeutics Corp. (Nasdaq: BCTX, BCTXW) (TSX: BCT) (“BriaCell” or the “Company”), a clinical-stage biotechnology  company that develops novel immunotherapies to transform cancer care, provides an update to the previously announced investigation of alleged illegal trading activity of its publicly traded securities.

Key Points: 
  • PHILADELPHIA and VANCOUVER, British Columbia, Feb. 27, 2024 (GLOBE NEWSWIRE) -- BriaCell Therapeutics Corp. (Nasdaq: BCTX, BCTXW) (TSX: BCT) (“BriaCell” or the “Company”), a clinical-stage biotechnology  company that develops novel immunotherapies to transform cancer care, provides an update to the previously announced investigation of alleged illegal trading activity of its publicly traded securities.
  • Upon external forensic analysis of data from various industry sources consistently demonstrating significant settlement share imbalances, and after discussions with 12 individual prime brokers for clarification of these imbalances, the Company has filed formal complaints with the Financial Industry Regulatory Authority (FINRA) and the Canadian Investment Regulatory Organization (CIRO).
  • The Company will continue to work with regulatory authorities to combat illegal manipulative trading activities and will provide further updates on this investigation as they become available.

RegEd's Advertising Compliance Solution Surpasses 6 Million Submissions, Setting New Industry Milestone

Retrieved on: 
Monday, February 26, 2024
Artificial intelligence, AI, ROI, Marketing, Growth, Risk, Advertising, Enterprise, FINRA, Rheged, Sales

Raleigh, NC, Feb. 26, 2024 (GLOBE NEWSWIRE) -- RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions.

Key Points: 
  • Raleigh, NC, Feb. 26, 2024 (GLOBE NEWSWIRE) -- RegEd, the leading provider of compliance solutions for financial services firms, has announced a significant new milestone as its Enterprise Advertising Review Solution surpasses 6 million review submissions supporting more than 200 million review decisions.
  • This new mark underscores RegEd’s unique ability to enable marketing and advertising compliance review processes at enterprise scale, with advanced capabilities including the integration of artificial intelligence (AI).
  • In 2023 alone, the solution's submissions increased by more than 20%, surpassing 6 million submissions just a year after crossing the 5 million submissions mark.
  • For more information about RegEd's Enterprise Advertising Review or other enterprise compliance solutions, please visit RegEd.com.