Tag Archives: Daniel Terry Fischer

Four Points Stockbroker Barred By SEC For Churning

Daniel Terry Fischer of New York New York a stockbroker formerly employed by Four Points Capital Partners has been barred from being a stockbroker or investment adviser as well as associating with securities broker dealers or investment advisories according to a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings pursuant to Securities Exchange Act […]

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Four Points Capital Partners Stockbroker Suspended For Unauthorized Trading

August 17, 2016  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Daniel Terry Fischer, of New York, New York, a stockbroker registered with Four Points Capital Partners LLC, was fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in the unauthorized discretionary trading in customer accounts. Letter of Acceptance, Waiver […]

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