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Articles Tagged with Union Capital Company

The Securities and Exchange Commission (SEC) has charged former LPL Financial broker Kerry Hoffman (CRD#: 1061740) with securities fraud. He allegedly sold unregistered securities of GT Media, Inc. according to the SEC’s press release and his BrokerCheck record accessed on September 5, 2019. On July 1, 2019, the SEC charged Kerry Hoffman with securities fraud, […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 20, 2017 indicate that Arizona-based Union Capital Company broker Keith Geary has been sanctioned by FINRA and barred from engaging in principal & supervisory activities. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Geary (CRD# 2996679). Keith […]

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