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boston745

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Re: joev2 post# 26687

Thursday, 09/12/2019 12:40:11 AM

Thursday, September 12, 2019 12:40:11 AM

Post# of 40903
Here is a list of 9 actions by Finra for Ascendiant. Claim #6 looks the most inflammatory as 2 agents engaged in fraud and Ascendiant failed to disclose investigations properly. This particularly case looks bad as Ascendiant looks to have tried to cover it up.

Still markedly better than Thalmann and I believe Maxim. Seems Sonny slowly picks better and better firms.

https://files.brokercheck.finra.org/firm/firm_152912.pdf

https://www.stocklaw.com/securities-fraud-blog/2015/july/finra-fines-ascendiant-capital-markets-of-irvine/
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