Cleveland investor rights attorneys

Paul Carleton Engaged in Private Securities Transaction without Prior Written Authorization from Financial America, FINRA’s Alleges

In May 2010, Paul Carleton, a Cleveland, Ohio registered representative of Financial America Securities, Inc., participated in one securities transaction. On May 19, 2010, a Carleton customer executed a subscription agreement to purchase $500,000 of this Private Offering, FINRA’s Department of Enforcement reports. Carleton triggered this purchase by forwarding the agreement directly to the issuer, but… Read more »