Category Archives: Beta Capital Management

Beta Capital Management Fined/Censured by FINRA

Beta Capital Management, headquartered in Miami, FL, was censured and fined $12,500 by the Financial Industry Regulatory Authority (FINRA) to resolve allegations that it failed to establish either a separate bank account as agent or trustee for firm investors or a bank escrow account, and failed to implement written supervisory procedures in accordance with SEC Rule 15c2-4 while participating as non-exclusive placement agents for two private placement offerings.

Rex Securities Law provides nationwide representation to investors seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.  Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

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