Category Archives: Geoffrey Richards Securities

Geoffrey Richards Securities-Hypoluxo, FL-Sanctioned by Securities Regulators

December 11, 2014

To resolve allegations by the Financial Industry Regulatory Authority (FINRA) that it violated securities rules and regulations related to the reporting of net capital , Geoffrey Richards Securities agreed to a censure and to pay a fine of $40,000.

The violative conduct took place between 6/24/2010 and 1/31/2013 when the company acted as an underwriter in 24 firm commitment offerings, in violation of its membership agreement and without filing a continuing membership application.

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