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6 months ago
BRIEF-FINRA hearing panel expels Red River Securities
February 14, 2017 / 10:55 PM / 6 months ago

BRIEF-FINRA hearing panel expels Red River Securities

Feb 15 (Reuters) -

* FINRA hearing panel expels Red River Securities, Llc and bars CEO Brian Keith Hardwick for fraud; ordered to pay $24.6 million in restitution to investors

* FINRA - hearing panel found that respondents engaged in misrepresentations, omissions for nearly 4 years and involved sales in "risky joint ventures"

* FINRA-Panel found that Red River Securities, Hardwick fraudulently misrepresented material facts related to some sales numbers issued by Regal Energy, Llc Source text for Eikon:

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