Tag Archives: HFP Capital Markets

HFP Capital Markets, LLC Barred for Obstructing FINRA

August 17, 2015  |   Posted by :   |   Bond Fraud, Excessive Markups, Investment and Regulatory News   |   0 Comments

John Joseph Vaughan, a former registered securities representative and compliance manager with HFP Capital Markets, LLC., was barred from association with any FINRA registered firm in all capacities after Levitt failed to cooperate with a FINRA investigation into allegations that HFP Capital Markets had charged customers unfair prices and failed to provide adequate supervision of […]

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