Tag Archives: Kildare Capital Inc.

Kildare Capital Stockbroker Charged With Fraud

William Norris Jordan Jr., of Philadelphia, Pennsylvania, a stockbroker with Kildare Capital, Inc., was named in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement alleging that Jordan partook in a deceptive and fraudulent scheme concerning round trips of municipal securities, charged customers excessive prices, and provided false information to his firm as […]

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Kildare Capital Municipal Securities Trader Suspended

August 08, 2016  |   Posted by :   |   Bond Fraud, Investment and Regulatory News   |   0 Comments

David M. Joyce, a municipal securities trader for Kildare Capital, Inc., was fined $25,000.00 and suspended for twelve months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unlawful pre-arranged round trip transactions. Letter of Acceptance, Waiver and Consent, No. 20120317482-02 (June […]

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Philadelphia Stockbroker Barred For Fraud

Edward Manges, of Philadelphia, Pennsylvania, a municipal securities broker with Kildare Capital, Inc., was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he engaged in a fraudulent trading scheme, and falsified statements to FINRA in the course of an investigation into his misconduct. […]

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