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The Investor’s Watchdog

The Investor's Watchdog
Friday, June 12, 2020 FINRA Department of Enforcement Files Complaint against New York City Firm and Former CEO for Soliciting Investments in Purported Ticket Resale Business Turned Ponzi Scheme Author: Jason T. Albin

The Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers recently reviewed a complaint against Tripoint Global Equities, LLC (Tripoint), headquartered in New York, New York, and its chief executive officer, Mark Elenowitz, regarding alleged unsuitable recommendations made to customers. Elenowitz was associated with Tripoint from May 2007 to May 2020. He has been associated […]