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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Tag Archives: Growth Capital Services Inc.
FINRA Sanctions Growth Capital Services For Misrepresentation
February 01, 2021 | Posted by : Guiliano Law Group | Investment and Regulatory News, Private Placement Fraud | Comments Off on FINRA Sanctions Growth Capital Services For Misrepresentation
Growth Capital Broker Found Selling Away
July 31, 2018 | Posted by : Guiliano Law Group | Hedge Funds, Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments
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. […]
Read More »Regulator Fines Growth Capital For Failure To Supervise
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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