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CP Capital Securities

CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL

CHARLES MCINNIS- FORMER CAMBRIDGE INVESTMENT BROKER- DISCLOSES REGULATORY SUSPENSION-MIAMI, FL 150 150 Rex Securities Law

April 2017- Miami, FL The FINRA records of  Charles M. McInnis (CRD # 1321666) ,  a  stockbroker who was previously employed by  Cambridge Investment Research, Inc.   disclose 3 final regulatory events,  3 customer disputes that are…

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Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL

Jorge Reyes-Former CP Capital Securities Broker-Discloses Regulatory Complaint-Miami, FL 150 150 Rex Securities Law

UPDATE February 2019-In December FINRA named Reyes in a complaint alleging that he made fraudulent representations and omissions of material fact in connection with the sale of Regulation D securities.…

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German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX

German Mora-Former Merrill Lynch Broker-Discloses Terminations From Employment-San Antonio, TX 150 150 Rex Securities Law

April 2017- San Antonio, Texas The FINRA records of  German Ricardo Mora ,  a  former Merrill Lynch stockbroker who is currently not registered discloses two recent terminations from employment. The Financial Industry Regulatory Authority…

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