Halcyon Cabot Partners, Ltd. was expelled from Financial Industry Regulatory Authority (FINRA) membership, while two of its principals, Ronald Mark Heineman and Michael Trent Morris, were permanently barred from association with any FINRA member in any capacity per an Order Accepting Offer of Settlement containing findings of widespread violations of securities laws including a scheme […]
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Tag Archives: Ronald Heineman
Halcyon Cabot Partners Expelled for Fraudulent Churning Scheme
October 19, 2015 | Posted by : Guiliano Law Group | Churning, Investment and Regulatory News | 0 Comments