Securites Fraud Attorneys SHEPHERD, SMITH & EDWARDS, LLP
stock fraud online consultations
Skip to main content
about Our Stock Attorneys contact stock lawyers securities arbitration questions Securities fraud news Broker Misconduct Resources and links about investment protection en Espanol
Free Consultation

or call
1-800-259-9010


RenCap Securities, Inc.

RenCap Securities, Inc. (CRD #37821, New York, New York) received a censure and fine of $18,000. According to the findings, the firm failed to disclose adequately the markups or markdowns charged to its customers. The regulators also found that the firm memoranda of the brokerage orders were deficient in that the memoranda failed to show the type of order, whether or not the transaction was solicited, and the correct time of order entry and order execution. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C10040058)

Did RenCap Securities, Inc. manage your investments?

 

 

If you would like one of our specialists to provide a free consultation, please let us know how to reach you:

 Your Name

 Your Phone

 Your Question / Situation