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UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMay 19, 2015 INVESTMENT COMPANY ACT OF 1940
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Document Date: 2015-05-19 15:31:26

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File Size: 252,91 KB

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City

Dallas / New York / /

Company

Lighthouse Financial Group LLC / See Nikko Securities Co. International Inc. / Penson Financial Services Inc. / PennMont Securities / /

Country

United States / /

Currency

USD / /

Event

Reorganization / Delayed Filing / Bankruptcy / /

Facility

Caused Lighthouse / Whitehouse Station / /

IndustryTerm

retail / /

Organization

Securities and Exchange Commission / FINRA / /

Person

Richard Krill / /

Position

broker-dealer / public official / principal underwriter / dealer / investment adviser / officer / director / member of an advisory board / investment adviser / broker / dealer / municipal securities dealer / municipal advisor / Administrative Law Judge / registered broker-dealer / director / member of an advisory board / investment adviser / hearing officer / consultant / independent auditor / underwriter / introducing broker / officer / CFO / Brent J. Fields Secretary / investment adviser / municipal securities dealer / /

ProvinceOrState

Texas / New Jersey / New York / /

PublishedMedium

the Commission annual / /

SocialTag