Tag Archives: CP Capital Securities

FINRA Charges CP Capital Broker With Fraud

Jorge A. Reyes of Miami Florida a stockbroker formerly registered with CP Capital Securities has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that between May of 2013 and August of 2016, Reyes (1) utilized misleading materials to market private placements (2) advised a customer to purchase a private placement that […]

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CP Capital Securities Broker Barred For Fraud

Alexis Lertora of Miami Florida a stockbroker formerly employed by CP Capital Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Lertora (1) made omissions and misrepresentations to customers (2) made unsuitable investment recommendations and (3) lacked an adequate basis to […]

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CP Capital CEO Barred By FINRA For Fraud

June 25, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Harold Lee Connell of Miami Florida the owner and chief executive officer of CP Capital Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Connell (1) made omissions and misrepresentations to customers (2) sold unsuitable investments and (3) failed to supervise […]

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FINRA Investigates CP Capital Stockbroker For Fraud

May 31, 2018  |   Posted by :   |   Investment and Regulatory News, Promissory Notes   |   0 Comments

Alexis Lertora of Miami Florida a stockbroker formerly employed by CP Capital Securities is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which FINRA recommended that enforcement action be brought against Lertora for defrauding investors and making unsuitable recommendations to customers pertaining to promissory notes investments. Wells Notice Examination No. 20160514937 (Apr. […]

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FINRA Investigates Capital Securities Stockbroker For Fraud

Harold Lee Connell of Miami Florida a stockbroker formerly employed by CP Capital Securities is the subject of a Financial Industry Regulatory Authority (FINRA) Wells Notice where FINRA recommended that a disciplinary action be pursued against Connell alleging that he committed fraud and effected promissory notes and private placement transactions that were not suitable for […]

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CF Capital Securities Sued For Misrepresentation

March 07, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Jorge Reyes of Miami Florida is a stockbroker formerly registered with CP Capital Securities who is subject of a customer initiated investment related civil action brought in Miami Florida on October 24 2016 in which the customer requested one million four hundred fifty-two thousand dollars in damages based upon accusations that the customer was induced […]

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