Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Independent Financial Group, LLC Sanctioned by FINRA for Failure to Supervise Sales of Non-Traded REITs

Kevin J. Deloatch, Esq.2026-08-05T12:10:38-05:00April 22nd, 2021|Securities Law, Markets and Products|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer, Independent Financial Group, LLC (CRD # 7717) was recently sanctioned by FINRA’s [...]

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

Growth Capital Services, Inc. Sanctioned by FINRA Over Private Placement Offerings

Kevin J. Deloatch, Esq.2026-08-05T12:15:29-05:00January 20th, 2021|Securities Law, Fraud in Underwriting, Markets and Products, Misrepresentation, Private Placements|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker-dealer/investment adviser, Growth Capital Services, Inc. (CRD # 124658) was recently sanctioned by [...]