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ACAP Financial Expelled For Selling Unregistered Securities

ACAP Financial Inc., a broker-dealer headquartered in Salt Lake City, Utah, has been expelled from Financial Industry Regulatory Authority (FINRA) membership per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that ACAP Financial, inter alia, facilitated unregistered securities sales. Department of Enforcement v. ACAP Financial, et al., No. 2012030459101 (Dec. 6, […]

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ACAP Financial Expelled For Selling Unregistered Securities

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