VFinance Investments Inc. of Boca Raton, FL, was 1.) fined $27,500 by FINRA for alleged failure to immediately publish a bid for several OTC securities that were higher than earlier bids, and 2.) fined $17,500 and ordered to pay $2,617 to customers for failure to use the most favorable prices for customers in the sale of securities. They were also cited for failure to supervise in the first case.
VFinance was fined $12,500 and paid $468 in restitution to customers earlier this year for alleged failure to quickly execute orders to buy and sell stock, resulting in their customers not obtaining favorable prices.
In 2013, VFinance was fined $65,000 for allegedly conducting a $5.95 million private placement for a company that was on a restricted list of firms which were not to be dealt with.
Many of these cases were listed previously on our website.
VFinance Investments, Inc., is listed on FINRA's BrokerCheck as now having total of 25 "Disclosure Events:" 20 are Regulatory Events, and 5 are Arbitrations.
A disclosure events is described by FINRA as "certain criminal matters, regulatory actions, civil judicial proceedings, and financial matters in which the brokerage firm or one of its control affiliates has been involved."
VFinance Investments, Inc., has been in business since 1998.
VFINANCE INVESTMENTS, INC
CRD# 44962
SEC# 8-50898
Main Office Location
1200 N. FEDERAL HIGHWAY
SUITE 400
BOCA RATON, FL 33432
If you've had financial losses due to your broker/dealer’s recommendations at VFinance Investments, Inc., of Boca Raton, FL, call Ft. Lauderdale-based Soreide Law Group for a free consultation with an attorney: 888-760-6552. Soreide Law Group represents our clients nationwide.
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