Private Securities

Apr 6th, 2015
Published by Jeremy Hyndman at Apr 6th, 2015
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California Financial Advisor Issues Private Securities Without Reporting To Firm, Putting Investors At Risk

A financial advisor in Aptos, California has allegedly made private transactions without the permission of his firm. Daniel McCourt, while working for Foothill Securities, Inc., began […]
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Apr 2nd, 2015
Published by Jeremy Hyndman at Apr 2nd, 2015
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Key West Investments Fined for Unlawful Sale of Private Securities

Key West Investments, LLC (Key West), a California based brokerage firm, was recently fined for improper sales of private placements. Private securities are investments offered to […]
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Dec 7th, 2014
Published by Jeremy Hyndman at Dec 7th, 2014
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FINRA alleges Buford Stockbroker Improperly Sold Risky, Private Securities

Kenneth Brownlee of AllState Financial Services allegedly convinced clients to invest in a private company without disclosing the sales to his employer, and while he received […]
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Oct 7th, 2014
Published by Jeremy Hyndman at Oct 7th, 2014
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Santa Barbara Stockbroker Suspended for Improper Sales of Private Securities

Travis Shannon of Morgan Stanley has been suspended for improperly selling $1.885 million in private securities. Private securities are investments that are not publicly traded or […]
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