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The Investor’s Watchdog

The Investor's Watchdog
Tuesday, August 14, 2018 San Francisco Broker Agrees to Two-Month Suspension and $5,000 Fine for Allegedly Selling Limited Partnership Interests to Family and Friends without Firm Approval Author: Jason T. Albin

The Financial Industry Regulatory Authority (FINRA) Department of Enforcement recently approved a Letter of Acceptance, Waiver and Consent (AWC) submitted by Kenny Mezher, a general securities representative associated with Growth Capital Services, Inc. (GCS) in San Francisco, California from August 2016 to April 2017. FINRA claims in the AWC that from January 2017 and March […]