Tagged with "Letter of Acceptance"

FINRA Fines Houlihan Capital and President David Smith

Posted on December 20th, 2016 at 9:34 AM
FINRA Fines Houlihan Capital and President David Smith

Houlihan Capital, LLC of Chicago, Illinois has submitted a Letter of Acceptance, Waiver and Consent (AWC) for its participation in the offering of a private placement of securities for a companyseeking to raise $5 million through the sale of subordinated convertiblepromissory notes. 

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