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WARNING! Impending Investigation–ASCENDIANT CAPITAL MARKETS LLC and SEAN SPEARMAN

Tag Archives: Sean Spearman

28
Feb

WARNING! Impending Investigation–ASCENDIANT CAPITAL MARKETS LLC and SEAN SPEARMAN

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Ascendiant Capital Markets LLC and Sean Spearman   We are currently investigating allegations made against Ascendiant Capital Markets LLC, an Irvine, California-based securities brokerage firm.  FINRA (the Financial Industry Regulatory Authority) brought a regulatory action against Ascendiant Capital Markets for failing to timely update Form U-4s for two (one former, one current) of its registered ...

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