It has been amazing to use the Marketplace—great collaboration with other affiliates to represent a formidable team. I am excited about what's been built and what is forthcoming.
Managing Partner, Clear Glass Capital
There are real-estate professionals on the platform that I have engaged with to pitch in a month-long bakeoff with other investment banks, and because both of us met through the Finalis Marketplace, we won the mandate.
Managing Director at Horatius Group
The most banker friendly broker-dealer team I have ever worked with. Utmost professionalism with a friendly personal touch. Easy to use, well-designed online platform.
Deep Impact Capital
Finalis looks for ways to partner with us above and beyond the standard broker/dealer partnership. We consistently look to them for compliance guidance, legal advice, and help with contract issues.
A formal administrative or civil action initiated by a governmental agency, self-regulatory organization or a foreign financial regulatory authority; a felony criminal indictment or information (or equivalent formal charge), or a misdemeanor criminal information (or equivalent formal charge), but does not include an arrest or similar charge effected in the absence of a formal criminal indictment or information (or equivalent formal charge). NOTE: Investment-related civil litigation, other than that specified above, is reportable under Question 14H on Form U4. An investigation is reportable under Question 14G on Form U4.
Includes: (a) grand jury investigations; (b) U.S. Securities and Exchange Commission investigations after the "Wells" notice has been given; (c) FINRA. investigations after the "Wells" notice has been given or after a person associated with a member, as defined by The FINRA By-Laws, has been advised by the staff that it intends to recommend formal disciplinary action; (d) NYSE Regulation investigations after the “Wells” notice has been given or after a person over whom NYSE Regulation has jurisdiction, as defined in the applicable rules, has been advised by NYSE Regulation that it intends to recommend formal disciplinary action; (e) formal investigations by other SROs; or (f) actions or procedures designated as investigations by jurisdictions. The term investigation does not include subpoenas, preliminary or routine regulatory inquiries or requests for information, deficiency letters, “blue sheet” requests or other trading questionnaires, or examinations.