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 […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) consented to the described sanctions and to the entry of findings that it acted as the private placement agent for a placement of up to $5 million in convertible notes a company […]

VFinance Investments, Inc., is listed on FINRA's BrokerCheck as having total of 22 "Disclosure Events:" 17 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 […]