Tag Archives: Harold Lee Connell

CP Capital CEO Barred By FINRA For Fraud

June 25, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Harold Lee Connell of Miami Florida the owner and chief executive officer of CP Capital Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Connell (1) made omissions and misrepresentations to customers (2) sold unsuitable investments and (3) failed to supervise […]

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FINRA Investigates Capital Securities Stockbroker For Fraud

Harold Lee Connell of Miami Florida a stockbroker formerly employed by CP Capital Securities is the subject of a Financial Industry Regulatory Authority (FINRA) Wells Notice where FINRA recommended that a disciplinary action be pursued against Connell alleging that he committed fraud and effected promissory notes and private placement transactions that were not suitable for […]

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