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CP CAPITAL SECURITIES FINED $70,000 FOR PRIVATE PLACEMENT SALES

Tag Archives: CP Capital Securities

03
May

CP CAPITAL SECURITIES FINED $70,000 FOR PRIVATE PLACEMENT SALES

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CP CAPITAL SECURITIES FINED $70,000 FOR PRIVATE PLACEMENT SALES

CP Capital Securities Fined $70,000 for Private Placement Sales   We are currently investigating allegations made against CP Capital Securities, a Miami, Florida-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against CP Capital Securities, making numerous allegations regarding its conduct, including that it failed to maintain an adequate supervisory ...

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