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Rubicon > Kathleen McPherson > Brookstreet Securities
On September 11, 2007, the Registrant entered into a consulting agreement (“Consulting Agreement”) with Kathleen M. McPherson. Ms. McPherson will provide consulting services in the area of corporate structure, marketing, strategic alliances, and other matters relating to the management and growth of the Registrant. Pursuant to the Consulting Agreement, Ms. McPherson will receive $15,000 per month for her services and be reimbursed for out of pocket expenses incurred as a result of the Consulting Agreement.
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Firm Fined, Individuals Sanctioned
Brookstreet Securities Corporation (CRD #14667, Irvine, California)
StanleyClifton Brooks (CRD #31684, Registered Principal, San Clemente, California)
Kathleen Margaret McPherson (CRD #1526361, Registered Principal, SanDiego, California)
McPherson’s suspension in any principal capacity is in effect from July 16, 2007, through August 29, 2007. (NASD Case #EAF0400570001)
http://74.125.155.132/search?q=cache:rNhjc_QWfFoJ:www.finra.org/web/groups/industry/%40ip/%40enf/%40da/documents/disciplinaryactions/p036462.pdf+kathleen+mcpherson,+brookstreet+securities&cd=10&hl=en&ct=clnk&gl=us
Kathleen M. McPherson
People Filing Results - KATHLEEN M. MCPHERSON
Form Type Company Name Received
8-K RUBICON FINANCIAL INC 9/14/2007
SB-2 SPARE BACKUP, INC. 12/6/2006 Brookstreet
POS AM REEDS INC 9/1/2006 Brookstreet
8-K ACTION PRODUCTS INTERNATIONAL INC 8/24/2006 Brookstreet
10QSB QPC LASERS 8/15/2006 Brookstreet
POS AM REEDS INC 6/28/2006 Brookstreet
http://yahoo.brand.edgar-online.com/PeopleFilingResults.aspx?PersonID=4242166&PersonName=KATHLEEN%20M.%20MCPHERSON
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Kathleen McPherson >>>> Brookstreet Securities
http://www.google.com/search?sourceid=navclient&ie=UTF-8&rlz=1T4HPIB_enUS310US310&q=kathleen+mcpherson%2c+brookstreet+securities
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Posted On: June 22, 2007
News Flash: Brookstreet Securities Closes its Doors
Today was "Black Friday" for Brookstreet Securities, as it closed for business. The firm's 650 independent contractor brokers have been terminated, says Stanley Brooks, President of the firm. Brookstreet clients are left in limbo, many with huge losses in their accounts.
As reported earlier this week, Brookstreet Securities Corp, based in Irvine, California, told its agents that "disaster" had struck and it was in eminent danger of folding. The e-mail communication (previously posted on this site) claimed this was as a result of mark-downs on collateralized mortgage obligation securities (CMOs) by Fidelity's National Financial Services (NFS), which cleared trades and maintained accounts for Brookstreet.
Some of Brookstreet's clients report that their accounts continued to fall in value this week. Yet, if they attempted to do anything NFS told them they must to talk to their (Brookstreet) broker, but their broker was not answering the phone. Meanwhile, Some of these clients' margin accounts slipped into the "red", meaning not only have these investors' funds disappeared but NFS now claims the investors owe it money!
Brooks said the firm had a value of about $17 million at the end of May which has evaporated. He said he turned down several tentative offers to recapitalize the firm. "I am flabbergasted," said Brooks, 59. "My life's work is gone."
http://www.stockbrokerfraudblog.com/2007/06/news_flash_brookstreet_securit.html
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June 02, 2009
16 Brokers Charged In Fraud
Sixteen brokers who worked for the now-defunct Brookstreet Securities Corp. in Irvine, Calif., have been charged with defrauding hundreds of customers by selling them collateralized mortgage obligations (CMOs) without revealing their risks.
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have filed similar complaints against different brokers who had worked for the firm.
The SEC charged 10 former Brookstreet brokers in its civil complaint filed in West Palm Beach last week. The SEC’s complaint alleges that the defendants portrayed particularly risky types of CMOs as secure investments to defraud more than 750 customers, ultimately costing them more than $36 million in losses. Meanwhile, the 10 brokers received $18 million in commissions and salaries related to their customers’ investments in CMOs.
The SEC’s complaint charges Florida residents William Betta, Jr., James J. Caprio, Troy L. Gagliardi, Barry M. Kornfeld, Clifford A. Popper, Alfred B. Rubin, and Steven I. Shrago as well as Travis A. Branch of Kailua, Hawaii, Russell M. Kautz of Medford, Ore., and Shane A. McCann of Florence, Mont.
“These brokers disguised the risks of investing in these derivatives of mortgage-backed securities, exposing their customers to substantial losses as the subprime crisis emerged,” said Robert Khuzami, director of the SEC’s Division of Enforcement. “They disregarded their customers’ needs and used deceptive and misleading tactics to enrich themselves at their clients’ expense.”
The SEC is seeking permanent injunctive relief, disgorgement of ill-gotten gains with prejudgment interest, and financial penalties against those who are named in its complaint.
Meanwhile, FINRA charged six different brokers in a complaint that alleges that from June 2004 through May 2007, the brokers sold CMOs to retail customers when the brokers themselves lacked a basic understanding of these complex and illiquid securities. The complaint alleges that these brokers led their customers to believe that the CMOs were safe, government-backed securities. Customers were also told that they could achieve consistently high annual returns, in some cases up to 15%, regardless of market conditions. In fact, the complaint alleges that the CMOs purchased for the respondents' customers were generally not guaranteed by the government and were subject to uncertain cash flows and maturities, based on changes in interest rates.
The former Brookstreet brokers named in FINRA's complaint are Thomas J. Brough, who worked in Chicago; Kevin M. Browne, who worked in northern California; Eric R. Elliott and Robert N. Gest Jr., both of whom worked in Fort Lauderdale, Fla.; Brian J. Falabella, who worked in Long Island; and Jonathan J. Sheinkop, who worked in Chicago.
Under FINRA rules, a firm or individual named in a complaint can file a response and request a hearing before a FINRA disciplinary panel. Possible remedies include a fine, censure, suspension or bar from the securities industry, disgorgement of gains associated with the violations, and payment of restitution.
http://www.fa-mag.com/fa-news/4212-16-brokers-charged-in-fraud.html
(b) Departure of Officer - Effective May 4, 2009, the Registrant’s interim COO agreement with Bootstrap Real Estate Investments, LLC expired. Under the agreement with Bootstrap, Mr. Todd Vande Hei, as the Managing Member of Bootstrap, performed the duties and responsibilities of chief operating officer for the Registrant. As a result of the expiration of the agreement, Mr. Vande Hei is no longer serving as the Registrant’s interim chief operating officer.
http://www.secinfo.com/d12TC3.sV1e.htm
On February 5, 2009, in accordance with the engagement of Todd Vande Hei, a current director of the Registrant, to provide Interim Non-Employee COO services for the Registrant, as described in Item 5.02(c) below, the Registrant entered into an interim COO agreement with Bootstrap Real Estate Investments, LLC, whereby Mr. Vande Hei as the Managing Member of Bootstrap, agreed to perform the duties and responsibilities of Chief Operating Officer for the Registrant for a period of 3 months. Upon completion of minimum financing by the Registrant of $1,000,000, the Registrant has agreed to appoint Mr. Vande Hei as a fulltime employee as the Registrant’s COO. If the financing is not achieved then the term of the agreement is to last 3 months from the date of execution. The Registrant agreed to issue Bootstrap 120,000 shares of restricted common stock for all services rendered by Mr. Vande Hei under the Agreement. In addition, Mr. Vande Hei will be eligible for certain to be determined bonuses during the term of the Agreement.
http://www.secinfo.com/d1zrpn.sw.htm#1stPage
On June 19, 2009, the Registrant received a letter from a holder of the Registrant’s 8% Series A Convertible Preferred Stock (“Preferred Stock”) to demand the withdrawal of the June 11, 2009 amendments to the Registrant’s bylaws.
On or about June 11, 2009, a majority of the Registrant’s board of directors attempted to amend (i) Article II, Section 2 of the Registrant’s bylaws, and (ii) Article III, Section 1(a) of the Registrant’s bylaws.
Any amendment to the Registrant’s bylaws required the consent of a majority of the holders of the Preferred Stock, which was not obtained. A copy of the Amended and Restated Certificate of Designation specifying the rights and preferences of the Preferred Stock was filed as Exhibit 4.1 to the Registrant’s Form 10-Q filed with the SEC on November 19, 2008. Because the holders of the Preferred Stock did not consent to the bylaw amendments, the amendments are deemed to be null and void and of no effect.
The original sections of the bylaws, which are in full force and effect, are as follows:
Original Article II, Section 2:
Section 2 – Special Meeting:
Special meetings of the shareholders may be called at any time by the Board of Directors or by the President, and shall be called by the President or the Secretary at the written request of the holders of ten percent (10%) of the shares then outstanding and entitled to vote there or as otherwise required under the provisions of the Business Corporation Act.
Original Article III, Section 1(a):
Section 1 – Number Election and Term of Office:
(a) The number of the directors of the Corporation shall be five (5), unless and until otherwise determined by vote of a majority of the entire board of Directors. The number of Directors shall not be less than three, unless all of the outstanding shares are owned beneficially and of record by less than three shareholders, in which event the number of directors shall not be less than the number of shareholders permitted by statute.
http://www.secinfo.com/d12TC3.s1zP5.htm
Amendment to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On June 11, 2009, a majority of the Registrant’s board of directors voted to amend (i) Article II, Section 2 of the Registrant’s bylaws to remove the power of the president, or the Registrant’s shareholders holding in excess of 10% of the outstanding shares of common stock, from being able to call a special shareholder meeting, and (ii) Article III, Section 1(a) of the Registrant’s bylaws to set the number of board members at three. The original and amended sections of the bylaws are as follows:
Original Article II, Section 2:
Section 2 – Special Meeting:
Special meetings of the shareholders may be called at any time by the Board of Directors or by the President, and shall be called by the President or the Secretary at the written request of the holders of ten percent (10%) of the shares then outstanding and entitled to vote there or as otherwise required under the provisions of the Business Corporation Act.
Revised Article II, Section 2:
Section 2 – Special Meeting:
Special meetings of the shareholders may be called at any time by a majority of the Board of Directors.
Original Article III, Section 1(a):
Section 1 – Number Election and Term of Office:
(a) The number of the directors of the Corporation shall be five (5), unless and until otherwise determined by vote of a majority of the entire board of Directors. The number of Directors shall not be less than three, unless all of the outstanding shares are owned beneficially and of record by less than three shareholders, in which event the number of directors shall not be less than the number of shareholders permitted by statute.
Revised Article III, Section 1(a):
Section 1 – Number Election and Term of Office:
(a) The number of the directors of the Corporation shall be three (3), unless and until otherwise determined by vote of a majority of the entire board of Directors. The number of Directors shall not be less than three, unless all of the outstanding shares are owned beneficially and of record by less than three shareholders, in which event the number of directors shall not be less than the number of shareholders permitted by statute.
The Registrant intends to file its amended and restated bylaws as an exhibit to its quarterly report on Form 10-Q for the period ending June 30, 2009.
http://www.secinfo.com/d12TC3.s1Z9t.htm
was in the 4/09 filing also.
from rubicon 10k 4/15/09
On June 15, 2007, we acquired a 24.9% interest in AIS Financial, Inc. ("AIS") through the issuance of 100,000 shares of our common stock and a cash payment of $100,000 to its principal, Mr. Marc Riviello. On June 3, 2008, we entered into a Stock Repurchase and Settlement Agreement with AIS and Marc Riviello whereby we returned the 24.9% of AIS in exchange for the cancellation of 100,000 shares of our common stock initially issued as partial payment of the purchase and an unsecured promissory note from Mr. Riviello in the amount of $100,000. The note bears interest at a rate of 6% per annum and matures on June 1, 2009. As of the date of this report, the 100,000 shares have been cancelled and the entire principal and interest balance on the note remains unpaid.
AIS Financial, Inc.
On June 15, 2007, we acquired a 24.9% interest in AIS Financial, Inc. ("AIS") through the issuance of 100,000 shares of our common stock and a cash payment of $100,000 to its principal, Mr. Marc Riviello. On June 3, 2008, we entered into a Stock Repurchase and Settlement Agreement with AIS and Marc Riviello whereby we returned the 24.9% of AIS in exchange for the cancellation of 100,000 shares of our common stock initially issued as partial payment of the purchase and an unsecured promissory note from Mr. Riviello in the amount of $100,000. The note bears interest at a rate of 6% per annum and matures on June 1, 2009. As of the date of this report, the entire note balance, including interest, remains outstanding.
Rubicon Financial Inc · 10-K · For 12/31/08
http://www.secinfo.com/d1zrpn.s1s.htm
Promissory note to a related party for $156,039, unsecured, interest at 10%, due upon demand
December 31,.....2007 -0-
................2006 - 156,039
Rubicon Financial Inc · 10-K · For 12/31/08
http://www.secinfo.com/d1zrpn.s1s.htm
Therefore, the Registrant did not own or control AIS during the period set forth in the SEC complaint, August 2006 to February 2007, and never participated in the management of AIS.
10-Jun-2009: Form 8-K for RUBICON FINANCIAL INC
Change in Directors or Principal Officers, Regulation FD Disclosure
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
(b) Departure of Officer - Effective May 4, 2009, the Registrant's interim COO agreement with Bootstrap Real Estate Investments, LLC expired. Under the agreement with Bootstrap, Mr. Todd Vande Hei, as the Managing Member of Bootstrap, performed the duties and responsibilities of chief operating officer for the Registrant. As a result of the expiration of the agreement, Mr. Vande Hei is no longer serving as the Registrant's interim chief operating officer.
Item 7.01 Regulation FD Disclosure.
In accordance with General Instruction B.2 of Form 8-K, the following disclosure is deemed to be "furnished" and shall not be deemed "filed" for the purpose of
Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference into any filing under the Securities Act of 1933 or the Securities Exchange Act of 1934, each as amended.
On April 16, 2009 the United States Attorney for the District of Delaware filed indictments against seven individuals, including Joseph Mangiapane, Jr., the Registrant's chief executive officer, principal financial officer, president, secretary and treasurer, alleging various unlawful acts. Mr. Mangiapane, who was a registered representative with AIS Financial, Inc. ("AIS"), a registered broker/dealer, at all times relevant to the allegations (August 2006 to February 2007), was served with his indictment on May 20, 2009. In addition, on May 20, 2009, the SEC filed a civil complaint against the same seven individuals, and one additional individual, alleging violations of the antifraud, registration, and other provisions of the federal securities laws. A copy of the SEC complaint can be found on the SEC's website at www.sec.gov.
In addition, the Registrant deemed it imperative to clarify certain misstatements in the Delaware action and SEC complaint as relates to the ownership and management of AIS. On April 12, 2006, the Registrant originally agreed to acquire AIS (then known as "Advantage Investment Strategies, Inc."), pursuant to an agreement and plan of merger. On July 17, 2006, the Registrant entered into a Termination Agreement whereby the Agreement and Plan of Merger with Advantage Investment Strategies, Inc. was terminated because the respective Boards of Directors of the Registrant and Advantage Investment Strategies determined that the proposed merger with Advantage Investment Strategies were no longer consistent with, and in furtherance of, their respective business strategies and goals.
Further, almost a year after terminating the merger with Advantage Investment Strategies, on June 15, 2007, the Registrant acquired a 24.9% minority interest in AIS through the issuance of 100,000 shares of its common stock and a cash payment of $100,000 to AIS's sole owner and principal, Marc Riviello, also one of the individuals indicted. On June 3, 2008, the Registrant entered into a Stock Repurchase and Settlement Agreement with AIS and Mr. Riviello whereby the Registrant returned the 24.9% of AIS in exchange for the cancellation of 100,000 shares of its common stock initially issued as partial payment of the purchase and an unsecured promissory note from Mr. Riviello in the amount of $100,000. Therefore, the Registrant did not own or control AIS during the period set forth in the SEC complaint, August 2006 to February 2007, and never participated in the management of AIS.
http://biz.yahoo.com/e/090610/rbcf.ob8-k.html
pretty ugly spread here but could be a good rm candidate down the line...:)
From February 2 through February 8, Dynkowski and Brown, through orders submitted to Mangiapane and Riviello, sold approximately 24.5 million shares held in nominee accounts, making illegal profits of more than $1.2 million.
On June 15, 2007, the Registrant executed a stock purchase agreement by and among the Registrant, AIS Financial, Inc., a Florida corporation (f/k/a Advantage Investment Strategies, Inc.) (“AIS”), and Marc Riviello.
http://www.secinfo.com/d1zrpn.uat.htm#1stPage
THIS STOCK PURCHASE AGREEMENT (Agreement), dated as of June 15, 2007 is by and among RUBICON FINANCIAL, INC., a Delaware corporation ("PURCHASER"), AIS FINANCIAL, INC. (AIS), a Florida corporation and Marc Riviello (“SELLER”)....
WHEREAS, SELLER desires to sell to PURCHASER and PURCHASER desires to purchase from SELLER 24 (twenty-four) shares of Common Stock of AIS Financial, Inc. (AIS) (the "Shares") upon the terms and conditions set forth herein. These Shares equate to 24.9% (twenty-four and 9/10th percent) of the total outstanding Common Stock issued.....
In consideration for the 24 Shares of AIS, Purchaser shall pay to the Seller the sum of $100,000 (“Purchase Price”), and 100,000 restricted common shares of Rubicon Financial, Inc. PURCHASER has first right of refusal to purchase the remaining outstanding and issued common shares (75.1%) of AIS for $1.00. Also, Rubicon Financial, Inc. will infuse $25,000.00 of working capital to AIS Financial, Inc.
The private placement names have not yet been disclosed, but I believe the SEC and USA lawsuits involving the CEO of Rubicon will provide the names eventually.
Any clues as to who the private placement was with? The poster below seems to think he knows or it should be pubic knowledge.
Posted by: ergo sum Date: Sunday, June 07, 2009 8:22:32 PM
In reply to: BullNBear52 who wrote msg# 8577 Post # of 8580
Like I told you before that information should be filed with the sec.
http://investorshub.advfn.com/boards/post_reply.asp?message_id=38478015
Have you seen this news. The only reason I ask is that you seem to be familar with the company?
http://investorshub.advfn.com/boards/read_msg.aspx?message_id=38478015
Is this a good thing?
Historically, our plan of operation has been stalled by a lack of adequate working capital. During 2008, we raised $256,500 net of financing costs of $38,500, through two private placements and as of March 31, 2009 we had available cash of $246,669. We believe these funds will help support existing operational costs, but will only be sufficient to satisfy our working capital requirements through June 30, 2009.
Consequently, in addition to cash generated from operations, we will need to raise additional funds through either equity, including convertible securities such as preferred stock or debentures, or debt financing.
[...]
We believe the $246,669 in un-restricted cash on hand at March 31, 2009 will only be sufficient to sustain operations through the second quarter of fiscal 2009. As a result, we anticipate the need to seek additional funding for operations through equity offerings and may need to further do so in the future through additional financing, acquisitions, joint ventures or other means available to us. There can be no assurance that we will be able to complete a transaction or complete a transaction on terms favorable to our stockholders or us.
As we continue to expand in the financial services industry, we anticipate incurring operating losses over the next twelve months. Our lack of operating history makes predictions of future operating results difficult to ascertain. Our prospects must be considered in light of the risks, expenses and difficulties frequently encountered by companies in their early stage of development.
Rubicon Financial Inc · 10-Q · For 3/31/09
http://www.secinfo.com/d12TC3.sQgj.htm
Apparel Sourcing International- Ben Kae
Two Commercial Barudan Embroidery Machines 4 Sale
I have two Barudan machines that must sell. Don't be afraid to make an offer.
email ben@asideals.com for more info.
http://www.digitsmith.com/two-commercial-barudan-embroidery-machines-4-sale-11463.html
Domain Name: asideals.com
Registrant:
Apparel Sourcing International
Ben Kae
1455 Crenshaw Blvd Ste 270
Torrance, CA 90501
US
Email: benkae@sbcglobal.net
Domain Name: asideals.com
Created on..............: Thu, Dec 14, 2000
Expires on..............: Mon, Dec 14, 2009
Record last updated on..: Mon, Dec 15, 2008
Administrative Contact:
Apparel Sourcing International
Ben Kae
1455 Crenshaw Blvd Ste 270
Torrance, CA 90501
US
Phone: 310 782 9850
Email: ben@asideals.com
Organisation Name: Relax America, LLC; Admin Name: Ben Kae
Domain Name.......... techpinch.com
Creation Date........ 2004-05-17
Registration Date.... 2004-05-17
Expiry Date.......... 2009-05-17
Organisation Name.... Relax America, LLC
Organisation Address. 1455 Crenshaw Blvd.
Organisation Address. Suite 270
Organisation Address. Torrance
Organisation Address. 90501
Organisation Address. CA
Organisation Address. UNITED STATES
Admin Name........... Ben Kae
Admin Address........ 1455 Crenshaw Blvd.
Admin Address........ Suite 270
Admin Address........ Torrance
Admin Address........ 90501
Admin Address........ CA
Admin Address........ UNITED STATES
Admin Email.......... ben@asideals.com
Admin Phone.......... 3107829850
In March of 2009, we executed a non-binding letter of intent to acquire 100% of 1000 BARS, Inc., a private Nevada corporation focused on the preservation of the long-term value of assets through buying and selling strategies of physical precious metals, specializing in 1000 oz bars of silver. 1000 BARS has also developed commodity market strategies for the owners of physical bars of silver.
Rubicon Financial Inc · 10-K · For 12/31/08
http://www.secinfo.com/d1zrpn.s1s.htm" rel="nofollow" target="_blank">http://www.secinfo.com/$/SEC/Filing.asp?404;http://www.secinfo.com/d1zrpn.s1s.htm
Rubicon Financial Announces Corporate Update
Adds Commodity Trading and Marketing Services
On Thursday March 26, 2009, 9:30 am EDT
[...]
Commodity Services
Rubicon has signed a non-binding letter of intent to acquire 100% of 1000 BARS, Inc., a private corporation focused on the preservation of the long-term value of assets through buying and selling strategies of physical precious metals, specializing in 1000 oz bars of silver. 1000 BARS has also developed commodity market strategies for the owners of physical bars of silver. "There hasn't been an opportunity or need like this for a generation. As central banks are increasing money supplies as part of their efforts to stimulate the world economy and monetize debt, precious metals stand as the only stable store of value. The ownership of silver bars and related investment strategies afford investors a mechanism to assist in the preservation of asset value. We look forward to working with Rubicon to develop these strategies for the benefit of its valued clients," stated Ben Kae, CEO of 1000 BARS.
http://biz.yahoo.com/iw/090326/0485221.html
BEN KAE
1000 BARS, INC.
Business Entity Information
Status: Active
File Date: 3/5/2009 2:50:08 PM
Type: Domestic Corporation
Corp Number: E0115202009-5
Qualifying State: NV
List of Officers Due: 3/31/2010
Financial Information
No Par Share Count: 0
Capital Amount: $ 10.00
Par Share Count: 10,000.00
Par Share Value: $ 0.001
Officers Include Inactive Officers
President - BENJAMIN KAE
Address 1: 1455 CRENSHAW BLVD
Address 2: #200C
City: TORRANCE State: CA
Zip Code: 90501 Country:
Status: Active Email:
Secretary - BENJAMIN KAE
Address 1: 1455 CRENSHAW BLVD
Address 2: #200C
City: TORRANCE State: CA
Zip Code: 90501 Country:
Status: Active Email:
Director - ELLEN SEAMAN
Address 1: 1455 CRENSHAW BLVD
Address 2: #200C
City: TORRANCE State: CA
Zip Code: 90501 Country:
Status: Active
https://esos.state.nv.us/SOSServices/AnonymousAccess/CorpSearch/CorpDetails.aspx?lx8nvq=LceT2tGr9q4TtX3fCdoOjg%253d%253d
1455 Crenshaw Boulevard, Suite 200C, Torrance.
Relax America
1455 Crenshaw Blvd Ste 200C
Torrance, CA
(310) 782-9850
children's clothing Clothes & Accessories Childrens & Infants Wear Wholesale & Manufacturers nondurable wholesale women's clothing
http://www.yellowbot.com/tags/womensclothing/Long%20Beach,%20CA/page7.html
RELAX AMERICA, LLC
Number: 200101310132
Date Filed: 12/19/2000
Status: active
Jurisdiction: CALIFORNIA
Address
1455 CRENSHAW BLVD #270
TORRANCE, CA 90501
Agent for Service of Process
BEN KAE
1455 CRENSHAW BLVD #270
TORRANCE, CA 90501
http://kepler.sos.ca.gov/corpdata/ShowLpllcAllList?QueryLpllcNumber=200101310132
Entry into a Material Definitive Agreement
Form 8-K for RUBICON FINANCIAL INC
24-Jan-2008
Item 1.01 Entry into a Material Definitive Agreement.
On June 28, 2007, the Registrant originally entered into an agreement and plan of merger (the "Merger Agreement") by and among the Registrant, RFI Sub, Inc., a California corporation and wholly-owned subsidiary of the Registrant ("Merger Sub"), and Grant Bettingen, Inc. ("GBI"). On September 7, 2007, the Registrant, Merger Sub, and GBI entered into Amendment No. 1 to the Merger Agreement, whereby the termination date of the Merger was extended from January 31, 2008 to March 31, 2008. Concurrent with the Amendment, the Registrant purchased 15% of GBI prior to the consummation of the Merger. Under the terms of the Merger Agreement, Merger Sub will be merged with and into GBI, with GBI as the surviving corporation and new wholly owned subsidiary of the Registrant.
The foregoing description of the Merger Agreement and Amendment No. 1 to the Merger Agreement does not purport to be complete and is qualified in its entirety by reference to the Merger Agreement filed as Exhibit 2.7 to the Form 8-K filed on July 5, 2007 and Amendment No. 1 filed as Exhibit 2.7(b) to the Form 8-K filed on September 14, 2007.
On January 23, 2008, the Registrant, Merger Sub, and GBI entered into Amendment No. 2 to the Merger Agreement. Pursuant to the amendment, Section 8.1 of the Merger Agreement was amended to extend the termination date of the Merger from March 31, 2008 to June 30, 2008. In addition, the Registrant deposited $200,000 with GBI, which shall be used by GBI to maintain its net capital at $200,000. If the CMA (as defined in the Merger Agreement) is not approved by the FINRA, GBI shall immediately return the $200,000 to the Registrant.
The foregoing description of the Amendment No. 2 to the Merger Agreement does not purport to be complete and is qualified in its entirety by reference to the Amendment No. 2, attached to this Current Report as Exhibit 2.7(c) and is incorporated into this Item by reference.
The completion of the merger is subject to the satisfaction of several conditions, including the following: (i) the FINRA approval of GBI's Continuation in Membership Application; (ii) the execution of employment agreements between the Surviving Entity and key GBI employees; the execution of an employment agreement between the Registrant and Grant Bettingen as well as a non-competition agreement from Grant Bettingen; (iv) the delivery by GBI of audited financial statements; and (v) such other customary conditions with respect to transactions of this type.
Rubicon Financial Incorporated Announces $2,000,000 Financing
IRVINE, Calif., Dec 05, 2007 (BUSINESS WIRE) -- Rubicon Financial Incorporated
(RBCF) today announced the closing of a strategic private placement from American
International Industries, Inc. (NasdaqCM: AMIN) for an aggregate of $2,000,000
through the sale and issuance of 1,000,000 shares of Rubicon's restricted common
stock at a purchase price per share of $2.00.
"This strategic investment further augments our ability to implement our business
model and growth as a diversified financial services company," said Rubicon CEO,
Joe Mangiapane. "It is greatly rewarding to see our hard work and effort gain
such recognition, as evidenced by the faith and confidence AMIN has shown in our
business model through this investment."
AMIN invested $1,000,000 in cash and issued 200,000 shares of its restricted
common stock to satisfy the purchase through the execution of a securities
purchase agreement. Cash proceeds from this financing are anticipated to be used
by Rubicon for general working capital and funding of new financial service
divisions. Rubicon currently intends to hold the AMIN shares as an investment.
About Rubicon:
Rubicon Financial Incorporated is a publicly-traded holding company that intends
to acquire private companies in the financial services industry and leverage
their strengths within a holding company structure. Rubicon has located its
headquarters to the Orange County area of Southern California in order to
capitalize on the perceived large and sophisticated customer base located there.
The types of financial services Rubicon intends to offer are those of: insurance,
both personal and commercial; mortgage and real estate services; retail brokerage
services; securities market making; online trading; and investment banking for
small to midsized companies. Each segment of these services will be an individual
licensed entity under the parent holding company of Rubicon. Rubicon currently
has several letters of intent to acquire private companies that it plans to
execute in the near future.
A copy of the securities purchase agreement will be filed as an exhibit to a Form
8-K, which will be available through the SEC's website
8K filed for new BOD member and pref shares added to authorized
Company Name CIK Form Type Received Date Period End Date
RUBICON FINANCIAL INC 0001103977 8-K 7/5/2007 6/28/2007
looks like it's for their AGM
Form PRE 14A RUBICON FINANCIAL INC For: Dec 31 (10K) filed
8K filed the 19th
I could have sworn I read that someplace else prior to that PR...perhaps from the 8K or the 10Q just issued
lol...and AH as well...Rubicon Financial Incorporated Announces Acquisition of Minority Interest in Broker/Dealer
IRVINE, Calif., May 17, 2007 (BUSINESS WIRE) -- Rubicon Financial Incorporated (OTCBB: RBCF) today announced the acquisition of 24.9% of Maximum Financial Investment Group, Inc. ("Maximum Securities"), a NASD licensed broker/dealer.
Maximum Securities offers on-line investors' cutting edge technology, order entry, and top notch customer service. Successful investment and technical professionals formed Maximum Securities to offer one of the most complete and advanced trading systems available.
"Our support staff consists of brokers, traders, and computer experts who can be reached before, during, and after market hours. We believe that real issues deserve real support from real people," stated Chris Paganes, CEO of Maximum Financial Investment Group, Inc.
RBCF anticipates moving towards the acquisition of the remaining 75.1% ownership of Maximum Securities during fiscal 2007.
"Maximum's on-line trading platform is anticipated to greatly enhance our business model and this acquisition, although only a minority position, further enhances our ability to provide diversified financial services," stated RBCF CEO, Joe Mangiapane.
About Rubicon Financial Incorporated:
Rubicon Financial Incorporated is a publicly-traded holding company that intends to acquire private companies in the financial services industry and leverage their strengths within a holding company structure. Rubicon has located its headquarters to the Orange County area of Southern California in order to capitalize on the perceived large and sophisticated customer base located there. The types of financial services Rubicon intends to offer are those of: insurance, both personal and commercial; mortgage and real estate services; retail brokerage services; securities market making; online trading; and investment banking for small to midsized companies. Each segment of these services will be an individual licensed entity under the parent holding company of Rubicon. Rubicon currently has several letters of intent to acquire private companies that it plans to execute in the near future.
Forward-Looking Statements:
This press release contains "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21B of the Securities Exchange Act of 1934. Any statements that express or involve discussions with respect to predictions, expectations, beliefs, plans, projections, objectives, goals, assumptions or future events or performance are not statements of historical fact and may be "forward-looking statements."
Such statements are based on expectations, estimates and projections at the time the statements are made that involve a number of risks and uncertainties which could cause actual results or events to differ materially from those presently anticipated. Such statements involve risks and uncertainties, including but not limited to: any implied or perceived benefits resulting from the purchase of the minority interest in Maximum Securities; the size of Maximum Securities and its financial results; the ability of RBCF to execute its business plan and become a diversified financial services company; the ability of RBCF to successfully complete the acquisition of the remaining interest in Maximum Securities; the successful acquisition of other financial services companies; any other effects resulting from the Maximum Securities transaction; risks and effects of legal and administrative proceedings and government regulation; future financial and operational results; competition; general economic conditions; and the ability to manage and continue growth. Should one or more of these risks or uncertainties materialize, or should underlying assumptions prove incorrect, actual outcomes may vary materially from those indicated.
Important factors that could cause actual results to differ materially from the forward-looking statements Rubicon makes in this press release include market conditions and those set forth in reports or documents it files from time to time with the Securities and Exchange Commission. Rubicon undertakes no obligation to revise or update such statements to reflect current events or circumstances after the date hereof or to reflect the occurrence of unanticipated events.
SOURCE: Rubicon Financial Incorporated
CONTACT: Rubicon Financial Incorporated
Terry Davis, 949-798-7220
Copyright Business Wire 2007
-0-
KEYWORD: United States
North America
California
INDUSTRY KEYWORD: Technology
Internet
Professional Services
Finance
SUBJECT CODE: Merger/Acquisition
Search for Dun & Bradstreet reports on this company.
Rubicon Financial Incorporated Announces Acquisition of Its Second Financial Services Subsidiary
May 17, 2007 9:30:00 AM
Copyright Business Wire 2007
IRVINE, Calif.--(BUSINESS WIRE)--
Rubicon Financial Incorporated (OTCBB: RBCF) today announced that on May 11, 2007 it closed on the acquisition of Rubicon Real Estate and Mortgages, Inc. ("RRE&M"), RBCF's second financial service company acquisition.
RRE&M provides professional assistance in the fields of residential and commercial real estate sales and mortgage loans in California. Mr. Joel Newman is the President of RRE&M and offers 26 years of experience in the real estate field. Further, Mr. Newman has been recognized by RE/MAX as one of the top 1% of real estate brokers nationwide.
In addition to Mr. Newman's expertise, RRE&M has assembled personnel experienced in sales, construction, financing, and management of commercial and residential properties. Being located in Southern California, RRE&M intends to market itself to median and high-end professionals attracted to the area.
"We are extremely optimistic about the immense opportunities within the real estate and mortgage industries. This acquisition allows us to efficiently enter these markets and provided us with an additional $925,000 in cash resources," remarked RBCF CEO, Joe Mangiapane. "This acquisition further solidifies our business model of becoming a diversified, bundled, single-source, financial services boutique within the financial services industry."
RRE&M has designed its business plan to act as modular units that can focus on different aspects of the real estate and mortgages industry. Currently, RRE&M has two modular units specializing in real estate sales and mortgage origination. However, RRE&M anticipates it will also establish modular units of mortgage banking; mortgage and property acquisition; private lending; commercial property sales and loans; broker-owned escrow; and property management as conditions and opportunities warrant it. This type of business plan also allows RRE&M to add or eliminate units without compromising the integrity of the whole company.
"Rubicon Financial's business model is very forward thinking. I am very proud to be a part of the team and excited about the future prospects of the combined companies," stated Joel Newman, President of RRE&M.
About the Acquisition:
The acquisition was accomplished through a reverse triangular merger among RBCF, a wholly owned subsidiary of RBCF, and RRE&M. The agreement and plan of merger provided that the subsidiary merged with and into RRE&M, with RRE&M as the surviving corporation. RBCF issued 1,159,000 shares of its common stock in exchange for 100% of the outstanding securities of RRE&M. Upon the closing of the Merger, RRE&M became a wholly owned subsidiary of RBCF.
A copy of the RRE&M merger agreement was filed as an exhibit to a Form 8-K filed on May 15, 2007, which is currently available through the SEC's website (www.sec.gov). This Form 8-K will be amended within 71 days of the completion of the merger to attach RRE&M's audited financial statements for the period from Inception (April 18, 2007) through April 30, 2007.
About Rubicon Financial Incorporated:
Rubicon Financial Incorporated is a publicly-traded holding company that intends to acquire private companies in the financial services industry and leverage their strengths within a holding company structure. Rubicon has located its headquarters to the Orange County area of Southern California in order to capitalize on the perceived large and sophisticated customer base located there. The types of financial services Rubicon intends to offer are those of: insurance, both personal and commercial; mortgage and real estate services; retail brokerage services; securities market making; online trading; and investment banking for small to midsized companies. Each segment of these services will be an individual licensed entity under the parent holding company of Rubicon. Rubicon currently has several letters of intent to acquire private companies that it plans to execute in the near future.
Forward-Looking Statements:
This press release contains "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21B of the Securities Exchange Act of 1934. Any statements that express or involve discussions with respect to predictions, expectations, beliefs, plans, projections, objectives, goals, assumptions or future events or performance are not statements of historical fact and may be "forward-looking statements."
Such statements are based on expectations, estimates and projections at the time the statements are made that involve a number of risks and uncertainties which could cause actual results or events to differ materially from those presently anticipated. Such statements involve risks and uncertainties, including but not limited to: any implied or perceived benefits resulting from the RRE&M acquisition; the size of RRE&M and its financial results; the ability of Rubicon to execute its business plan and become a diversified financial services company; the ability of Rubicon to successfully integrate RRE&M's business into its own; the successful acquisition of other financial services companies; any other effects resulting from the RRE&M acquisition; risks and effects of legal and administrative proceedings and government regulation; future financial and operational results; competition; general economic conditions; and the ability to manage and continue growth. Should one or more of these risks or uncertainties materialize, or should underlying assumptions prove incorrect, actual outcomes may vary materially from those indicated.
Important factors that could cause actual results to differ materially from the forward-looking statements Rubicon makes in this press release include market conditions and those set forth in reports or documents it files from time to time with the Securities and Exchange Commission. Rubicon undertakes no obligation to revise or update such statements to reflect current events or circumstances after the date hereof or to reflect the occurrence of unanticipated events.
Source: Rubicon Financial Incorporated
----------------------------------------------
Rubicon Financial Incorporated
Terry Davis
949-798-7220
quietly moving up...
ton of FORM 3s & 4s filed today as well as an 8k...no familiar names tho...lol
Rubicon Financial Incorporated Announces Acquisition of Its First Financial Services Subsidiary
IRVINE, Calif., Mar 15, 2007 (BUSINESS WIRE) -- Rubicon Financial Incorporated (OTCBB:RBCF) today announced that on February 1, 2007 it closed on the acquisition of Rubicon Financial Insurance Services, Inc., RBCF's first financial service company acquisition.
Rubicon Insurance is a full service insurance agency offering personal and commercial lines, health and life insurance products to individuals and companies. Rubicon Insurance is currently licensed to do business in California and intends to expand to other states on the West Coast over the next two years.
"Clearly this acquisition marks a milestone in implementing and executing on our business model to become a diversified financial services company," stated RBCF CEO, Joe Mangiapane. "Rubicon Insurance is an important building block for the implementation of our business strategy of providing a bundled, single-source, financial services boutique."
Rubicon Insurance markets its services to other financial services companies by implementing the "Innovative Insurance Integration" (i3) marketing plan.
"By implementing the "i3" marketing approach, we hope to become the preferred outlet for insurance services for all of our referral partners; including the real estate and funding sector, individual tax accountants, tax attorneys, stockbrokers and investment banking firms," stated Todd Torneo, President of Rubicon Insurance.
With regards to the mortgage and real estate sector, Rubicon Insurance is able to provide new home buyers and clients refinancing loans with homeowner's, automobile and life insurance products.
When working with tax attorneys and tax accountants, Rubicon Insurance can implement life insurance and annuities that will compliment existing retirement plans and create tax advantages for their clients.
Rubicon Insurance currently partners with securities brokers to provide insurance products necessary for the broker to achieve their client's goals, such as term and universal life insurance, annuities, and long term care insurance.
Finally, investment banking firms can work with Rubicon Insurance to provide directors and officers insurance, errors and omissions insurance, and key man insurance for their corporate clientele.
Rubicon Insurance intends to integrate its insurance products into the services offered by these companies, to effectively bundle the two products together.
About the Acquisition:
The acquisition was accomplished through a reverse triangular merger among RBCF, a wholly owned subsidiary of RBCF, and Rubicon Insurance. The agreement and plan of merger provided that the subsidiary merged with and into Rubicon Insurance, with Rubicon Insurance as the surviving corporation. RBCF issued 50,000 shares of its common stock in exchange for 100% of the outstanding securities of Rubicon Insurance. Upon the closing of the Merger, Rubicon Insurance became a wholly owned subsidiary of RBCF.
A copy of the Rubicon Insurance merger agreement was filed as an exhibit to a Form 8-K filed on February 23, 2007, which is currently available through the SEC's website (www.sec.gov). This Form 8-K will be amended within 71 days of the completion of the merger to attach Rubicon Insurance's financial statements for the period from Inception (October 27, 2005) through December 31, 2006.
About Rubicon Financial Incorporated:
Rubicon Financial Incorporated is a publicly-traded holding company that intends to acquire private companies in the financial services industry and leverage their strengths within a holding company structure. Rubicon has located its headquarters to the Orange County area of Southern California in order to capitalize on the perceived large and sophisticated customer base located there. The types of financial services Rubicon intends to offer are those of: insurance, both personal and commercial; mortgage and real estate services; retail brokerage services; securities market making; online trading; and investment banking for small to midsized companies. Each segment of these services will be an individual licensed entity under the parent holding company of Rubicon. Rubicon currently has several letters of intent to acquire private companies that it plans to execute in the near future.
Forward-Looking Statements:
This press release contains "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21B of the Securities Exchange Act of 1934. Any statements that express or involve discussions with respect to predictions, expectations, beliefs, plans, projections, objectives, goals, assumptions or future events or performance are not statements of historical fact and may be "forward-looking statements."
Such statements are based on expectations, estimates and projections at the time the statements are made that involve a number of risks and uncertainties which could cause actual results or events to differ materially from those presently anticipated. Such statements involve risks and uncertainties, including but not limited to: any implied or perceived benefits resulting from the Rubicon Insurance acquisition; the size of Rubicon Insurance and its financial results; the ability of Rubicon to execute its business plan and become a diversified financial services company; the ability of Rubicon to successfully integrate Rubicon Insurance's business into its own; the successful acquisition of other financial services companies; any other effects resulting from the Rubicon Insurance acquisition; risks and effects of legal and administrative proceedings and government regulation; future financial and operational results; competition; general economic conditions; and the ability to manage and continue growth. Should one or more of these risks or uncertainties materialize, or should underlying assumptions prove incorrect, actual outcomes may vary materially from those indicated.
Important factors that could cause actual results to differ materially from the forward-looking statements Rubicon makes in this press release include market conditions and those set forth in reports or documents it files from time to time with the Securities and Exchange Commission. Rubicon undertakes no obligation to revise or update such statements to reflect current events or circumstances after the date hereof or to reflect the occurrence of unanticipated events.
SOURCE: Rubicon Financial Incorporated
CONTACT: Rubicon Financial Incorporated
Terry Davis, 949-798-7220
Copyright Business Wire 2007
-0-
KEYWORD: United States
North America
California
INDUSTRY KEYWORD: Professional Services
Finance
Insurance
SUBJECT CODE: Merger/Acquisition
Search for Dun & Bradstreet reports on this company.
RBCF - Rubicon Financial Incorporated Announces Additional $1,000,000 Financing and Hiring of Chief Financial Officer
Rubicon Financial Incorporated (OTCBB: RBCF) today announced the closing of an additional private placement in the fourth quarter of 2006 for an aggregate of $1,000,000 through the sale and issuance of 500,000 shares of restricted Common Stock at a purchase price per share of $2.00.
Proceeds from this financing are anticipated to be used for general working capital, acquisitions, executive recruitment and potential funding of new financial service divisions of Rubicon.
“These additional funds are anticipated to greatly enhance our ability to execute on our business model to become a diversified financial services company,” said Rubicon CEO, Joe Mangiapane.
Rubicon also announced the hiring of Michael Sederoff as its Chief Financial and Chief Operating Officer. Mr. Sederoff brings over 25 years in financial and operating experience, predominantly in the real estate, mortgage brokering, insurance and high tech industries, to Rubicon.
Mr. Sederoff, age 53, prior to joining Rubicon, worked at Security Pacific Financial as their Chief Financial Officer from 2001 through January 2007. Additionally, Mr. Sederoff has held senior executive positions at TRW, Inc., Nortel, Inc. and Sony Electronics. Furthermore, he has held the position of Executive Vice President, Chief Financial Officer, and Chief Operating Officer of three publicly traded high tech corporations. Mr. Sederoff graduated from McGill University with a Bachelor of Commerce degree in Accounting/Finance and Masters Degree in Business Administration (MBA) in Finance and Computer Science. Mr. Sederoff is a Certified Management Accountant (CMA).
“Obviously we are very pleased to have a CFO with the corporate breadth and financial experience that Mr. Sederoff brings to our management team,” stated Mr. Mangiapane. “At a time when we are poised to expand our development and implementation plans in the financial services industry, it is reassuring to have a CFO with proven skills in corporate development.”
About Rubicon:
Rubicon Financial Incorporated is a publicly-traded holding company that intends to acquire private companies in the financial services industry and leverage their strengths within a holding company structure. Rubicon currently has several letters of intent to acquire private companies that it plans to execute in the near future.
Forward-Looking Statements:
This press release contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933 and Section 21B of the Securities Exchange Act of 1934. Any statements that express or involve discussions with respect to predictions, expectations, beliefs, plans, projections, objectives, goals, assumptions or future events or performance are not statements of historical fact and may be “forward-looking statements.”
Such statements are based on expectations, estimates and projections at the time the statements are made that involve a number of risks and uncertainties which could cause actual results or events to differ materially from those presently anticipated. Such statements involve risks and uncertainties, including but not limited to: the actual use of the proceeds from the private placement; the ability of Rubicon to execute its business plan and become a diversified financial services company; the successful acquisition of financial services companies; any implied or perceived benefits resulting from Mr. Sederoff’s experience; stated or implied capabilities of Mr. Sederoff; any other effects resulting from Mr. Sederoff’s appointment; risks and effects of legal and administrative proceedings and government regulation; future financial and operational results; competition; general economic conditions; and the ability to manage and continue growth. Should one or more of these risks or uncertainties materialize, or should underlying assumptions prove incorrect, actual outcomes may vary materially from those indicated.
Important factors that could cause actual results to differ materially from the forward-looking statements Rubicon makes in this press release include market conditions and those set forth in reports or documents it files from time to time with the Securities and Exchange Commission. Rubicon undertakes no obligation to revise or update such statements to reflect current events or circumstances after the date hereof or to reflect the occurrence of unanticipated events.
Rubicon Financial Incorporated
Joe Mangiapane, 949-798-7220
Source: Business Wire (March 8, 2007 - 9:31 AM EST)
News by QuoteMedia
www.quotemedia.com
gulp...BBL - gotta pack
too late...we know where u live.
I better get MATTY to give me a new alias in the Witless Protection Program...
ur bad alright wait till trix gets ahold of you.
really? Oh my bad...
hey u be careful how u talk bout my sis, that is not to whom he referred, lol
yup...actually, MATTY said the EXACT same thing including about the nutcase...lol...I never thought that's how he perceived your "sister"...
still like to see an online brokerage (sans the nutcase)
never thought that...one stop shopping - all they need now is to buy ETIM so they can intern them properly after they pay off the insurance
right on, that way...
when someone spills hot coffee on em they are insured.
who needs McDs...lol
another 8K today...this is my favorite part - quite the diversified company...coffee brewers & insurance...
Rubicon Financial Incorporated (“Rubicon”) is a publicly-traded holding company with two operating subsidiaries: (i) Dial-A-Cup, which has developed a hot-water dispensing system that will brew one fresh cup of coffee, tea, hot chocolate, soup, etc. on demand; and (ii) RFIS, a full service insurance agency offering personal lines, life and commercial insurance products to individuals and companies primarily in the State of California. In addition, Rubicon has expanded its business plan to locating potential acquisitions of private companies in the financial services industry, as demonstrated by the recent merger with RFIS
additionally, Section 3 – Securities and Trading Markets...
Item 3.02 Unregistered Sales of Equity Securities
As of December 20, 2006, we sold a total of 1,000,000 shares of our restricted common stock to two accredited investors (500,000 shares, respectively) at a price of $2.00 per share for a total of $2,000,000. On December 18, 2006, we issued 500,000 shares to one of the investors and are in the process of issuing the remaining 500,000 shares. In connection with the sale, we agreed to pay Hudson Capital Corporation a cash fee of $150,000 and issue Hudson Capital Corporation 75,000 shares of our restricted common stock.
We believe that the sale of the shares was exempt from registration and prospectus delivery requirements of the Securities Act of 1933 by virtue of Sections 4(2), and/or Regulation D, Rule 506. The shares were sold directly by us to accredited investors and did not involve a public offering or general solicitation. The purchasers of the shares were afforded an opportunity for effective access to files and records of our company that contained the relevant information needed to make their investment decision, including our financial statements and 34 Act reports. We reasonably believed that the purchasers, immediately prior to selling the shares, had such knowledge and experience in our financial and business matters that they were capable of evaluating the merits and risks of their investment. The purchasers had the opportunity to speak with our management on several occasions prior to their investment decision.
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Rubicon Financial, Inc.
_____________________________________________________________________________________________
Rubicon Financial, Inc. is headquartered in Irvine, California, one of the premiere financial service districts in Southern California. Our executive staff is committed to providing valuable leadership to our subsidiaries through a unique management approach which allows each subsidiary to operate independently and achieve “individual” results and recognition through increased support and experienced guidance by the corporate marketing and management teams of the holding company. Rubicon believes this system will relieve the marketing difficulties each subsidiary faces, allowing each division to concentrate on growing sales and profits.
Rubicon was founded in 2006 by financial service industry veterans with the goal of creating the nation’s premiere financial services business, providing quality products and services, as well as reliable and prudent advice, to their customers through a bundled approach which provides terrific cost savings and convenience to our customers.
OUR COMPANIES...
* Rubicon Financial Insurance Services, Inc.
* Rubicon Real Estate and Mortgage, Inc.
* Grant Bettingen, Inc.
* AIS Financial, Inc.
* Maximum Financial Investment Group
_____________________________________________________________________________________________
Rubicon Financial Incorporated Announces Acquisition of Its First Financial Services Subsidiary, IRVINE, Calif., Mar 15, 2007
http://www.investorshub.com/boards/read_msg.asp?message_id=17899314
Effective Sept. 15th ISGI - ISSG, Inc. to RBCF Rubicon...
http://www.investorshub.com/boards/read_msg.asp?Message_id=13329371&txt2find=isgi
_____________________________________________________________________________________________
Wholly-owned subsidiary:
Dial-A-Cup Corporation
AS seen on...
A hot water dispensing system that will brew one fresh cup of coffee, tea, hot chocolate, soup, etc. on demand. The appliance features a rotating cylinder with six (6) individual compartments, each with its own permanent filter, which allows the user to brew their favorite beverages without the need to purchase special “pouches” or “pods”.
The first prototype was completed in late 2004, and the initial pre-production appliances are currently being manufactured from the recently completed molds for submission for UL approval.
Dial-A-Cup is a trademarked name, and has been issued two (2) U.S. Patents to date, and has one (1) patent pending.
ISGI ISSG Announces Dividend to Shareholders;
http://www.investorshub.com/boards/read_msg.asp?Message_id=11042338&txt2find=isgi
Dial-A-Cup Presented on National Primetime Television;
Information on the show can be found here:
http://abc.go.com/primetime/americaninventor/
_____________________________________________________________________________________________
On June 2, 2005, A merger with Rub Investments Ltd. was completed, a company reporting under the Exchange Act, whereby we issued 150,000 shares of restricted common stock to the sole stockholder of Rub and all of the issued and outstanding shares of Rub were cancelled. Following the merger, in accordance with Rule 12g-3(a) of the General Rules and Regulations of the Securities and Exchange Commission, we were the successor issuer to Rub for reporting purposes under the Exchange Act.
_____________________________________________________________________________________________
PRESS RELEASES
http://www.rubiconfinancial.com/press.html
Authorized: 50,000,000
Outstanding: 12,076,773
Restricted: 9,331,295
Float: 2,745,478
Transfer Agent:
Colonial Stock Transfer Co., Inc., Salt Lake City, UT 84111
State of Incorporation: DE
Rubicon Financial Incorporated
19200 Von Karman Ave, Suite 350
Irvine, CA 92612
Main Line: 949-798-7220
Fax: 949-798-7278
Email: info@rubiconfinancial.com
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