Last $1.09 USD
Change Today -0.04 / -3.54%
Volume 5.0K
As of 8:10 PM 04/16/14 All times are local (Market data is delayed by at least 15 minutes).

paulson capital corp (PLCC) Snapshot

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07/31/13 - $1.90
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11/6/13 - $0.57
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paulson capital corp (PLCC) Details

Paulson Capital (Delaware) Corp., through its subsidiary, Paulson Investment Company, Inc., operates in the financial services industry in the United States. It operates as an agent for its customers in the purchase and sale of common and preferred stocks, options, warrants, and debt securities traded on securities exchanges or in the over-the-counter market. The company is also engaged in underwriting initial and follow-on public offerings, private investments in public equity, and private placements for smaller companies, as well as in the provision of financial advisory services. In addition, it holds securities for investment, which include securities purchased for investment and underwriter warrants; and act as an agent in executing trades in equity securities and corporate debt securities, as well as is involved in market making activities that are conducted with other dealers in the wholesale market and with its customers. The company, formerly known as Paulson Capital Corp., was founded in 1969 and is based in Portland, Oregon.

37 Employees
Last Reported Date: 03/18/14
Founded in 1969

paulson capital corp (PLCC) Top Compensated Officers

Principal Executive Officer, President, Direc...
Total Annual Compensation: $341.7K
Chief Financial Officer and Chief Financial O...
Total Annual Compensation: $225.5K
Compensation as of Fiscal Year 2013.

paulson capital corp (PLCC) Key Developments

Paulson Capital Regains Compliance With NASDAQ Listing Rule 5550(a)(2)

This Amendment No. 1 is filed to amend the current report on Form 8-K filed by Paulson Capital Corp., predecessor to Paulson Capital (Delaware) Corp., on February 27, 2014, reporting that the company was not in compliance with NASDAQ Listing Rule 5550(a)(2), to reflect that the company has since regained compliance with NASDAQ Listing Rule 5550(a)(2). On February 24, 2014, the Staff of the Nasdaq Stock Market notified the company that its common stock failed to maintain a minimum bid price of $1.00 over the previous 30 consecutive business days as required by Listing Rule 5550(a)(2). On April 7, 2014, the company was notified that Nasdaq Staff has determined that for 10 consecutive business days, from March 24, 2014 to April 4, 2014, the closing bid price of the company’s common stock has been at $1.00 per share or greater. Accordingly, the company has regained compliance with Listing Rule 5550(a)(2) and this matter is now closed.

Paulson Capital Receives Non Compliance Notice From NASDAQ

On February 24, 2014, Paulson Capital Corp. received a deficiency letter from The NASDAQ Stock Market indicating that, based on the Company's closing bid price for the last 30 consecutive business days, the Company does not comply with the minimum bid price requirement of $1.00 per share, as set forth in NASDAQ Listing Rule 5550(a)(2). In accordance with NASDAQ Listing Rule 5810(c)(3)(A), the Company has a grace period of 180 calendar days, or until August 25, 2014, to regain compliance with the minimum closing bid price requirement for continued listing. In order to regain compliance, the minimum closing bid price per share of the Company's common stock must be at least $1.00 for a minimum of ten consecutive business days. In the event the Company does not regain compliance by August 25, 2014, the Company may be afforded an additional 180-day compliance period, provided it demonstrates that it meets all other applicable standards for initial listing on The NASDAQ Capital Market (except the bid price and market value of publicly held shares requirements), and provides written notice of its intention to cure the minimum bid price deficiency during the second grace period. If the Company fails to regain compliance after the second grace period, the Company's stock will be subject to delisting by NASDAQ.

Paulson Capital Corp. Provides Update On NASDAQ Listing Qualifications Panel Hearing

On February 19, 2014, Paulson Capital Corp. was notified by The NASDAQ Stock Market LLC (“NASDAQ”) that, following a hearing on February 6, 2014, the NASDAQ Listing Qualifications Panel has determined to grant the Company’s request for continued listing of the Company’s common stock on The NASDAQ Capital Market. Notwithstanding the Panel’s determination to continue the Company’s listing on NASDAQ, in accordance with the discretionary authority granted NASDAQ under NASDAQ Listing Rule 5101, the Panel issued a public reprimand letter to the Company based upon the Panel’s determination that the Company has been remiss in failing to provide timely notifications in accordance with NASDAQ Listing Rule 5250(e)(6) and SEC Rule 10b-17, to ensure clear and complete disclosure with respect to shareholder rights to the Paulson Liquidating Trust and non-trust assets, and regarding plans for the Company’s operating subsidiary, Paulson Investment Company, Inc. Based on the Panel’s determination in this matter, the Company’s listing review is now closed. On February 20, 2014, the Company announced that, as a result of the Panel’s determination as described above, it will continue to remain listed on NASDAQ. The Company also announced its receipt of a public reprimand letter from the Panel.


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