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Miami Investment Fraud Attorney
305.372.9700
1 SE 3rd Ave # 1200
SunTrust International Center
Miami, Florida 33131

Tag Archives: Microcap Stock Fraud

SecFraud

Utah Brokerage Firm Permanently Banned for Selling Unregistered Penny Stocks

By Staff |

Recently, FINRA expelled the broker-dealer ACAP Financial Inc. from any future dealing within the securities industry. The Salt Lake City-based brokerage firm was accused of unlawfully selling unregistered securities. More specifically, the firm sold billions of shares of four different penny stocks without properly registering them with the SEC. A complete account of the… Read More »

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