Tag Archives: Growth Capital Services Inc.

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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