Articles Tagged with Purcellville Virginia Stockbroker Misconduct Lawyer

Kenny Danny Mezher a former registered stockbroker with Growth Capital Services, submitted a Letter of Acceptance, Waiver and Consent (AWC) in which he was assessed a deferred fine of $5,000 and suspended by the Financial Industry Regulatory Authority (FINRA) for a period of two months for allegedly participating in private transactions.

On April 22, 2016, Kenny Mezher joined Growth Capital Services (GCS) as a General Securities Representative. He remained associated with the Firm until his termination on April 11, 2017. According to FINRA, between January 2017 and March 2017, Mezher participated in four private securities transactions in violation of FINRA Rules 3280 and 2010. The findings stated that while with GCS, he was also employed by a now-defunct hedge fund called Crescent Ridge Capital Partners. Mezher allegedly sold four limited partnership interest totaling $179,500 to five investors of whom were his family and friends without providing notice or approval from his firm. Continue Reading