Tag Archives: Microphase

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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