Tag Archives: Hallmark Investments Inc.

Hallmark Investments Sanctioned For Sale of Unregistered Securities

August 15, 2017  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

William Howard Coons, of New York, New York, a stockbroker formerly registered with Hallmark Investments, Inc., has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity pursuant to a Decision and Order of Offer of Settlement containing findings that Coons sold securities that were not registered. […]

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Hallmark Investments Charged With Unregistered Securities Sales

March 31, 2017  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

Hallmark Investments, Inc., a broker-dealer headquartered in New York, New York, along with the firm’s chief executive officer, Steven G. Dash, president, Stephen P. Zipkin, and sales supervisor, William H. Coons, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint containing allegations of excessive mark-ups and unregistered securities sales. Department […]

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