2THEMART COM INC filed this 10-12G on 08/26/1999
tenkwizard.com
TENANT:
CRUTTENDEN ROTH INCORPORATED
a California corporation
L.P.,
partnership
By: /s/Edward J. Hall
Name: Edward J. Hall
Title: Chief Financial Officer
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If you look at the stocks CRUTTENDEN ROTH INCORPORATED has been associated with the links to the 10kwizard truth finder it highly suggests that it is. CRUTTENDEN ROTH INCORPORATED was the landlord of TMRT and in the same building.
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EDWARD J. HALL, 48, has served as the Chief Financial Officer and Managing
Director of H.J. Meyers & Co., an investment banking firm, since March 1991.
Between May 1990 and March 1991, Mr. Hall, a certified public accountant, was
an independent investor. From March 1988 through May 1990, Mr. Hall was an
Executive Vice President of Angeles Corporation, an investment management firm.
Prior to joining Angeles Corporation, Mr. Hall was with Deloitte & Touche,
where he had been a partner in the Audit and Emerging Business Group since
1980. Mr. Hall was elected a director of the Company in March 1992. Mr. Hall is
also a director of H.J. Meyers & Co., Inc. and HJM Group, Inc. Mr. Hall serves
on the Audit, Compensation, Stock Option, Directors Nominating, Finance and
Business Development Committees of the Board.
========================================
2THEMART COM INC filed this 10-12G on 08/26/1999
tenkwizard.com
TENANT:
CRUTTENDEN ROTH INCORPORATED
a California corporation
L.P.,
partnership
By: /s/Edward J. Hall
Name: Edward J. Hall
Title: Chief Financial Officer
=======================================
Search Results For : Cruttenden Roth Incorporated
tenkwizard.com
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Roth Capital Partners, Inc northernlight.com
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February 29, 2000
Market Participant Name/ID Change Re: Cruttenden Roth Incorporated
Cruttenden Roth Incorporated will be changing their market participant name and ID effective close of business Friday, March 3, 2000.
The new information for Monday, March 6, 2000 will be:
Name: Roth Capital Partners, Inc.
Market Participant ID: RCAP
The location of the Nasdaq® Trading office for this firm will be:
Desk/Location Phone
Newport Beach, CA (949) 720-5700
RCAP will continue to participate in API through Automated Securities, CTCI, ACTSM, Aces Pass-ThruSM, SOESSM and SelectNetSM as a Level 3 Market Maker quoting NMS®, SmallCapSM, and OTCBB issues.
If you have any questions, please call Nasdaq Subscriber Services Department at (800) 777-5606.
Nut Roth Securities.
--------------------------------------------------------------------------------
The Newport Beach-based brokerage formerly known as Cruttenden Roth recently changed its name to Roth Capital Partners -- the sort of moniker one usually associates with a private equity fund or group than a brokerage.
That just shows you how much the brokerage-investment banking game has hanged, said Byron Roth, chairman of Roth Capital.
"What we have been doing is investing a lot in private companies and with venture funds," said Roth. "You can't show up and win the beauty contest (the IPO underwriting) if you haven't been an early-stage investor as well."
Companies often select underwriters from those that believed in them early. With that in mind, Roth Capital partners just hired Fariba Ghodsian in its West Los Angeles office. The former Lehman Bros. analyst who holds a doctorate from Oxford University and MBA from UCLA will be a researcher in the biotech market, which Roth (and many others) think will be the next hot sector to rival Internet firms.
Ghodsian said Los Angeles' biotech world looks a little like the local Internet sector did about three years ago -just before venture capitalists flooded money into Web investments.
Ghodsian is following several local private companies, including Pasadena-based Clinical Microsensors Inc. and Cyrano Inc., both of which came out of the Caltech sphere and deal with DNA and artificial smell technology, respectively, and Urogynesys Inc. in Santa Monica, which is working on possible DNA-related strategies against prostate cancer.
At USC, UCLA and Caltech, and medical centers such as Cedars-Sinai and the City of Hope, some of the components needed for Los Angeles to emerge as a biotech center are in place, said Ghodsian and Roth.
"We just have to get the venture capitalists more interested," Ghodsian said.
Contributing columnist Benjamin Mark Cole writes about the local investment community for the Los Angeles Business Journal.
COPYRIGHT 2000 CBJ, L.P.
COPYRIGHT 2000 Gale Group
SECURITIES AND EXCHANGE COMMISION
SECURITIES EXCHANGE ACT OF 1934
Release No. 42394 / February 7, 2000
ACCOUNTING AND AUDITING ENFORCEMENT
Release No. 1221 / February 7, 2000
Administrative Proceedings File No. 3-10141
COMMISSION STAFF CHARGES THAT H.J. MEYERS & CO., INC. VIOLATED NET CAPITAL RULES
The Commission announced an Order Instituting Public Administrative Proceedings (Order) against H.J. Meyers & Co., Inc., James A. Villa and James C. Witzel. The Order alleges that from June through September 1998, H. J. Meyers & Co., Inc. (H.J. Meyers), through its President, James A. Villa (Villa), and its Chief Financial Officer (CFO), James C. Witzel (Witzel), failed to disclose net capital deficiencies ranging from $360,000 to $4.5 million. During this time period, H.J. Meyers concealed its net capital deficiencies through a series of fabricated journal entries. H.J. Meyers' net capital deficiencies were caused, in part, by the firm's failure to record a liability in connection with a $2.5 million loan received from an outside investor and paid to HJM Group (Group), H.J. Meyers' parent company. H.J. Meyers and Group were jointly and severally liable for the loan.
The Order alleges that although the loan documents were signed in June, the loan proceeds were not received until July 1998. H.J. Meyers' records, however, were improperly backdated to show that it received the cash in June. As a consequence, H.J. Meyers overstated cash by $2.25 million in June. The Order further alleges that the $2.5 million loan was never recorded as a liability on H.J. Meyers' books.
The Order alleges that H.J. Meyers and Group were to pledge 130,000 shares of stock as collateral for the loan. In June, H.J. Meyers transferred these shares to Group. In July, Group gave the shares to the investor, who placed the shares in a safe deposit box in a bank. Although these 130,000 shares remained in the safe deposit box, they erroneously reappeared as an asset on H.J. Meyers' books in July 1998. As a result of the above transactions, H.J. Meyers overstated its assets and thereby concealed net capital deficiencies in June, July and August 1998.
The Order alleges that Villa and Witzel caused and willfully aided and abetted H.J. Meyers' violations. The Order alleges that Villa was personally involved in the loan
negotiations and that he executed the various loan agreements on behalf of both H.J. Meyers and Group. Villa's execution of the $2.5 million loan agreements on behalf of H.J. Meyers caused the firm to incur a liability that resulted in a net capital deficiency. The Order also alleges that Witzel, the firm's CFO and Financial Operations Principal (FINOP) completed H.J. Meyers' monthly FOCUS reports during the time period at issue. The Order also alleges that Witzel, or others under his supervision, was responsible for backdating H.J. Meyers' books for June, the firm's failure to report the $2.5 million loan and the firm's improper inclusion of the 130,000 shares on H.J. Meyers' books after the shares had been transferred to the firm's lender.
A hearing before an administrative law judge will be scheduled to determine whether the allegations in the Order are true and to determine what remedial action, if any, is appropriate in the public interest.
sec.gov
Last update: 02/09/2000 |
