The Financial Industry Regulatory Authority, FINRA, has charged John Carris Investments LLC of New York with defrauding and misleading its investors. Invictus Capital Inc, which owns Carris, sold stock in Fibrocell Science Inc (FCSC) while at the same time selling its own shares in the biotechnology company, FINRA said recently. FINRA alleges Carris mislead investors […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Juan Carlos Parets (CRD #4839759, Registered Representative, New York, New York) was suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $30,000 in restitution to customers, and based on Juan C. Parets’ demonstration of […]