Recently, Mid Atlantic Capital Corp was sanctioned by the Financial Industry Regulatory Authority (FINRA) for alleged rule violations. Stoltmann Law Offices is interested in speaking to investors who have complaints regarding Mid Atlantic. FINRA alleged that the firm “failed to adequately supervise the private securities transactions of two registered representatives, in violation of FINRA and NASD rules. The brokers informed the Firm about their involvement with a hedge fund…which operated out of their office in Buffalo, New York. From September 2011 through January 2013, the brokers participated in securities transactions through the Fund, and received compensation from the Fund in connection with these securities transactions.” These constituted private securities transactions. This is against securities rules. If you were a victim of Mid Atlantic Capital Corp brokers, and would like to find out how to sue the firm on a contingency fee basis, please call our Chicago offices at 312-332-4200 today. Attorneys are standing by and there is no obligation whatsoever.
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