Southwest Securities Enters New England Public Finance
- Southwest Plans Southeast Expansion, Hires Muni Vets Steinhauer and Niggel. Sigo, Shelly // Bond Buyer;6/27/2008, Vol. 364 Issue 32908, p7
The article reports on the plan of Southwest Securities Inc. to expand into the Southeast U.S. Cliff Steinhauer from A.G. Edwards & Sons Inc. and Joe Niggel, formerly with UBS Securities LLC were hired by the company. According to Richard Litton, executive vice president of Southwest, they hope...
- Floresville ISD may reinance bond. Gibbs Jr., William J. // Wilson County News;10/29/2014, Vol. 41 Issue 44, p3A
The article focuses on the decision of the Floresville Independent School District in Texas to consider a move that could save its taxpayers an estimated $881,000, noting that the board of trustees voted for Southwest Securities Inc. in conducting a parameter sale of $9 million in debt.
- With eyes beyond Texas, Southwest Securities looks to boost its role. Kuiper, Mark T. // Bond Buyer;12/04/97, Vol. 322 Issue 30285, p30
Presents information on Southwest Securities Incorporated with reference to its success in local Texas financings. Background information on the company; Details on Southwest ranking the 10th as lead manager in Texas; Comments from executive vice president for trading, underwriting, and sales,...
- Monrovia, Calif., Refinances its Defaulted RDA Debt. WEBSTER, KEELEY // Bond Buyer;2/26/2013, Vol. 383 Issue 33867, p3
The article reports that California-based Southwest Securities Inc., a redevelopment agency, has refinanced its Registered Debt Agreement (RDA) after a five-year note by the company went into default in 2012.
- Southwest's Warehouse Exec Leaves. Muolo, Paul // American Banker;9/3/2010, Vol. 175 Issue F334, p9
The article reports that warehouse-lending executive David Frase no longer works for financial-services firm Southwest Securities.
- Risk Revealed in Post-Trade Monitoring. Hintze, John // Securities Industry News;9/7/2009, Vol. 21 Issue 19, p4
The article discusses how the qualified special representative (QSR) arrangements pose risk to clearing brokers which caused Southwest Securities (SWS) to lose 6.2 million dollars. Ken Hanks, chief finance officer (CFO) of SWS, notes that SWS received alerts from Nasdaq but the firm's staff was...
- SYSTEMS & SERVICES UPDATE. Chen, Tanya; Kite, Shane; Schroeder, Mary // Securities Industry News;02/05/2001, Vol. 13 Issue 6, p16
Reports developments in electronic commerce as of February 2001. Launching of ITG Access; Use of Advent Office product to automate a range of investment management functions; Completion of Comprehensive Software Systems by Southwest Securities.
- FINRA Fines Southwest Securities, Schwab for Violations. Hume, Lynn // Bond Buyer;1/19/2010, Vol. 371 Issue 33251, p4
The article reports on the 54,500 dollar fine imposed by the U.S. Financial Industry Regulatory Authority (FINRA) to Southwest Securities Inc. for trade reporting and non-municipal violations and 25,000 dollars to Charles Schwab & Co. 25,000 for municipal trade violations.
- Texas school district taps private market. Primack, Dan // Private Placement Letter;07/26/99, Vol. 17 Issue 30, pN
Reports on the Cedar Hill Independent School District in Texas' foray into the private placement market via Southwest Securities Inc. Rating assigned to the district's contractual obligation by Fitch IBCA Inc.; Primary motivation of those invest in independent school districts; Difference of...