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Ridgemont Securities, Inc.

Ridgemont Securities, Inc. (CRD #15253, Roanoke, Texas) received a censure and fine of $38,500. According to the regulators, the firm engaged in the sale of unregistered securities in connection with an offering to non-accredited investors when the offering was required to be registered. Apparently, the regulators found that the firm distributed and published sales information in connection with the offering that lacked a balanced presentation of the risks of the security, contained unwarranted and misleading statements, omitted material facts and included exaggerated statements and claims. In addition, the NASD found that the firmís supervisory system failed to provide sufficient checks and balances to ensure compliance with the above areas. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C05000035)

Did Ridgemont Securities, Inc. manage your investments?

 

 

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