Tag Archives: Growth Capital Services Inc.

FINRA Sanctions Growth Capital Services For Misrepresentation

February 01, 2021  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud   |   Comments Off on FINRA Sanctions Growth Capital Services For Misrepresentation

Growth Capital Services Inc. a securities broker dealer headquartered in San Francisco California has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) based on findings that it made misleading statements to prospective investors regarding private placements. Letter of Acceptance Waiver and Consent No. 2019060721801 (Jan. 15, 2021). According to the AWC, Growth […]

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Growth Capital Broker Found Selling Away

Kenny Danny Mezher of San Francisco California a stockbroker formerly registered with Growth Capital Services Inc. has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he participated in unauthorized private securities transactions. Letter of Acceptance Waiver and Consent No. […]

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Regulator Fines Growth Capital For Failure To Supervise

October 16, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Growth Capital Services, Inc., a brokerage firm headquartered in San Francisco, California, has been censured and fined $35,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that, inter alia, Growth Capital Services failed to supervise private securities transactions effected by five of the firm’s stockbrokers. Letter of Acceptance, Waiver and Consent, No. […]

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