Tag Archives: Stephen P. Zipkin

Hallmark Investments Charged With Unregistered Securities Sales

March 31, 2017  |   Posted by :   |   Investment and Regulatory News, Unregistered Securities   |   0 Comments

Hallmark Investments, Inc., a broker-dealer headquartered in New York, New York, along with the firm’s chief executive officer, Steven G. Dash, president, Stephen P. Zipkin, and sales supervisor, William H. Coons, were charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint containing allegations of excessive mark-ups and unregistered securities sales. Department […]

Read More »