First Southwest CEO tells his side of the story in recently filed court papers
- First southwest denies allegations of gross negligence in clearing lawsuit. Preston, Darrel // Bond Buyer;12/08/97, Vol. 322 Issue 30287, p37
Presents information on the lawsuit against Hillel Feinberg, chief executive officer of First Southwest Company by his former partner Robert K. Utley of Utely's Group II. Indepth look at the lawsuit; When the company was notified of the lawsuit; Comments from Feinberg.
- First Southwest settles suit by former owner. Preston, Darrell // Bond Buyer;11/23/98, Vol. 326 Issue 30526, p2
Reports on the settlement of a lawsuit filed by former First Southwest Co. owner Robert K. Utley III against the company. First Southwest's claim that Utley's company's ownership interest gas been acquired by firm employees; Background on the Utley Group II Ltd.'s lawsuit against Hillel...
- The bloodbath that wasn't: Judge throws out first Southwest partners' feud. Preston, Darrell // Bond Buyer;10/16/98, Vol. 326 Issue 30501, p3
Reports on the ruling by Dallas County District Judge Michael Oneill on the lawsuit by Utley Group II Ltd. against First Southwest Co. partner, Hillel Feinberg. Dispute between Feinberg and Robert K. Utley III; Case details; Results of investigation by independent director John Massey.
- FINRA Fines 5 Firms for Reporting Violations. Ackerman, Andrew // Bond Buyer;9/18/2007, Vol. 361 Issue 32715, p1
The article reports that Financial Industry Regulatory Authority (FINRA) in Washington has censured and fined five companies of which levied against First Southwest Co. for failing to reports in a timely manner trades and offering statements. The failure of First Southwest to report 5.87% timely...
- Results of Competitive Sales. // Bond Buyer;9/6/2006, Vol. 357 Issue 32460, p18
The article presents the results of competitive sales of government securities in the U.S. from August 31, 2006 to November 7, 2006. Commerce Bank won the bid at Gardner City, Kansas on its general obligation notes amounting to $ 6,535,000 which was issued on September 15, 2006 and is due on...
- First Southwest to Join Southwest Securities Under Hilltop Name. Williamson, Richard // Bondbuyer.com;10/22/2015, p14
The article reports that financial advisor First Southwest Co. will merge with broker-dealer firm Southwest Securities under the name Hilltop Securities by January 2016.
- New FA Rules 'Fair and Balanced'. ACKERMAN, ANDREW // Bond Buyer;10/14/2010, Vol. 374 Issue 33398, p1
The article presents the views of the chairman of First Southwest Co. Michael Bartolotta on the new regulation of Municipal Securities Rulemarking Board (MSRB) in the U.S. Bartolotta believes that the MSRB's new rule will be fair and balanced to all regulated market participants. Further he...
- MSRB Gets Earful on Abuses. Hume, Lynn // Bond Buyer;9/14/2009, Vol. 369 Issue 33182, p1
The article reports on the concerns over the statement by the Municipal Securities Rulemaking Board (MSRB) that retail order periods are often gamed so that retail investors do not get many bonds and they sometimes flip bonds. However, the Securities Industry and Financial Markets Association...
- TBMA and First Southwest Comment on Trade Reporting. Hume, Lynn // Bond Buyer;9/21/2006, Vol. 357 Issue 32471, p4
The article focuses on the comments of the Bond Market Association (TBMA) and First Southwest Co. concerning the new trade reporting procedures in the U.S. TBMA is opposing to the new reporting procedures proposed by the Municipal Securities Rulemaking Board (MSRB). At the same time, First...