Conrad R. Huss—Misrepresentations with Sale of Promissory Notes

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Conrad R. Huss Allegedly Made Misrepresentations in Connection with the Solicitation and Sale of $1.4 Million Worth of Promissory Notes Conrad R. Huss allegedly made misrepresentations in connection with the solicitation and sale of $1.4 million worth of promissory notes in a private offering to 14 customers, according to a Complaint from FINRA’s Department of Enforcement…. Read more »

Christopher J. Moran– Failure to Establish and Maintain Written Supervisory Procedures

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Christopher J. Moran Allegedly Failed to Establish and Maintain Written Supervisory Procedures or a Supervisory System Concerning Offer and Sale of Private Placements Christopher J. Moran allegedly failed to establish and maintain written supervisory procedures or a supervisory system related to the offer and sale of private placements, such as the EDFC Notes, according to… Read more »