Home > Boards > US OTC > Delisted > Baltia Air Lines Inc. (fka BLTA)

No PP sales for CP Capital. FINRA

Public Reply | Private Reply | Keep | Last ReadPost New MsgReplies (1) | Next 10 | Previous | Next
kayakzz Member Profile
 
Followed By 43
Posts 6,981
Boards Moderated 0
Alias Born 08/12/10
160x600 placeholder
kayakzz   Tuesday, 07/26/16 05:03:03 PM
Re: LongTimeObserver post# 75334
Post # of 104899 
No PP sales for CP Capital. FINRA hit them with a 70K fine 4/29/2016 and said the following:

Quote:
THE FIRM WAS CENSURED, FINED $70,000, AND IS REQUIRED TO RETAIN
AN INDEPENDENT CONSULTANT TO REVIEW ITS WSPS CONCERNING ITS
PARTICIPATION IN PRIVATE PLACEMENT AND MINIMUM CONTINGENCY
OFFERINGS. UNTIL THE FIRM ADOPTS AND IMPLEMENTS THE
RECOMMENDATIONS OF THE INDEPENDENT CONSULTANT, THE FIRM
SHALL REFRAIN FROM ENGAGING IN ANY PRIVATE PLACEMENT OR
MINIMUM CONTINGENCY OFFERINGS.



http://disciplinaryactions.finra.org/Search/ViewDocument/66105

Certified Expert on All Topics
Public Reply | Private Reply | Keep | Last ReadPost New MsgReplies (1) | Next 10 | Previous | Next
Follow Board Follow Board Keyboard Shortcuts Report TOS Violation
X
Current Price
Change
Volume
Detailed Quote - Discussion Board
Intraday Chart
+/- to Watchlist