Bolton Global Capital
579 Main St.
Bolton, MA 01740
Year founded: 1985
Recruitment & Staffing
|No. of reps||—||—||75|
|No. of producing reps||—||—||—|
|No. of reps producing $100K-$499K /year||—||—||—|
|Social Media & Mobile|
|Allows advisers to use social media||Y|
|Social media sites allowed|
|Dedicated mobile application for advisers?||N|
|Primary purpose of mobile application||—|
July 2, 2018 - Ten broker-dealers based in Massachusetts will be scrutinized by the state in connection with their practices around private-placement sales, according to a release from William F. Galvin, the state's chief securities regulator. The firms involved in...
May 7, 2018 - A former broker with the Bolton Global Capital in Wayne, Pa., has been sentenced to 63 months in prison, followed by one year of supervised release, and ordered to pay $886,214 in restitution to victims of his fraud. Paul W. Smith, the former broker,...
December 11, 2017 - The Securities and Exchange Commission has charged ex-broker Paul W. Smith with operating a long-running investment advisory fraud. The SEC's complaint, filed in federal court in Philadelphia, alleges that from 1991 to 2016 Mr. Smith raised approximately...
April 17, 2017 - A JP Morgan Securities team that managed more than $200 million has joined Bolton Global Capital, according to the independent hybrid firm said. Agustin De Estrada and Manuel Lecour are working as Aurora Partners and operating from Miami, the Boston-based...
January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
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Former brokers bringing charges related to stock losses during financial crisis have had 15 cases proceed, 4 stopped so far.