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ACAP Financial Stockbrokers Sanctioned For Sale of Unregistered Securities

January 05, 2017 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Unregistered Securities | 0 Comments

Kirk Lynn Ferguson, of Salt Lake City, Utah, president and chief compliance officer of ACAP Financial, and Gary Hume, of Salt Lake City, Utah, compliance officer of ACAP Financial, have been sanctioned by Financial Industry Regulatory Authority (FINRA) according to an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that Ferguson and […]

ACAP Financial Expelled For Selling Unregistered Securities

December 17, 2016 | Posted by : Guiliano Law Group | Boilerroom Sales, Investment and Regulatory News, Microcap and Penny Stock Fraud | 0 Comments

ACAP Financial Inc., a broker-dealer headquartered in Salt Lake City, Utah, has been expelled from Financial Industry Regulatory Authority (FINRA) membership per an Office of Hearing Officers’ Order Accepting Offer of Settlement containing findings that ACAP Financial, inter alia, facilitated unregistered securities sales. Department of Enforcement v. ACAP Financial, et al., No. 2012030459101 (Dec. 6, […]

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ACAP Financial Stockbrokers Sanctioned For Sale of Unregistered Securities

ACAP Financial Expelled For Selling Unregistered Securities

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