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Tag: private placement offerings

Blog, Securities Fraud

March 7, 2013

The Tidal Group, Inc. fined by FINRA

The Tidal Group, Inc. (CRD #39782, Schertz, Texas) recentlysubmitted a Letter of Acceptance, Waiver and Consent in which the firm was...

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Blog, Securities Fraud

March 7, 2013

KMS Financial Services, Inc. fined by FINRA

KMS Financial Services, Inc. (CRD #3866, Seattle, Washington) recently submitted a Letter of Acceptance, Waiver and Consent in which the...

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Blog, Securities Fraud

December 6, 2011

FINRA Proposes New Private Placement Offering Rule 5123

In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a...

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