Tag Archives: Andrew Smith

Houlihan Capital And Chief Compliance Officer Fined For False Advertising

Houlihan Capital, LLC, headquartered in Chicago, Illinois, as well as Andrew Smith, its ¬†president, and chief compliance officer, were censured and fined by Financial Industry Regulatory Authority (FINRA) after consenting to findings that the firm and Smith made false statements, omissions, and unwarranted statements concerning the benefits and risks of private placement offerings. Letter of […]

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