Articles Tagged with Bowling Green Kentucky Stockbroker Misconduct Lawyer

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Joseph Hooper, a former registered representative with Source Capital Group, Inc. (Source Capital), of Bowling Green Kentucky, submitted an Offer of Settlement in which he was fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in private securities transactions without notifying his member firm.

Without admitting or denying FINRA’s findings, Joseph Scott Hooper, of Bowling Green Kentucky, consented to the sanctions and to the findings that, while serving as Director of Investor Relations for the iPractice Group, Inc. (iPractice), he participated in the sale of iPractice stock and was compensated for his participation in these private securities transactions. Continue reading →