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 […]
Read More »
Tag Archives: CP Capital Securities
FINRA Charges CP Capital Broker With Fraud
January 03, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Private Placement Fraud, Stockbroker Theft, Unsuitable Investment Recommendations | 0 Comments
CP Capital Securities Broker Barred For Fraud
June 30, 2018 | Posted by : Guiliano Law Group | Alternative Investments, Investment and Regulatory News, Securities Arbitration Claims, Securities Fraud | 0 Comments
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 […]
Read More »CP Capital CEO Barred By FINRA For Fraud
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 […]
Read More »FINRA Investigates CP Capital Stockbroker For Fraud
May 31, 2018 | Posted by : Guiliano Law Group | 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. […]
Read More »FINRA Investigates Capital Securities Stockbroker For Fraud
May 17, 2018 | Posted by : Guiliano Law Group | Investment and Regulatory News, Promissory Notes, Securities Fraud, Selling Away and Outside Activities | 0 Comments
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 […]
Read More »CF Capital Securities Sued For Misrepresentation
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 […]
Read More »