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SEC Sanctions Worden Stockbroker For Securities Fraud

February 01, 2021 | Posted by : Guiliano Law Group | Boilerroom Sales, FINRA Securities Arbitration, Investment and Regulatory News, Private Placement Fraud | Comments Off

John Michael LoPinto of New York New York a stockbroker formerly registered with Worden Capital Management and investment adviser representative of Keyport Venture Advisors LLC has been censured and fined $40,000.00 according to a Securities and Exchange Commission (SEC) Order containing findings that LoPinto made misrepresentations to investors concerning pooled investment vehicles. In the Matter […]

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SEC Sanctions Worden Stockbroker For Securities Fraud

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