Articles Tagged with u-4

The securities fraud attorneys at Malecki Law are interested in hearing from investors who have complaints against stockbroker Catherine A. Sheridan.  Since April 2015, Ms. Sheridan has been employed and registered with Race Rock Capital, LLC, a broker-dealer, working out of the Boston, Massachusetts office, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA).

Per her BrokerCheck report, Ms. Sheridan was previously employed by North South Capital, LLC from 2010 to 2015, Sound Securities, LLC from 2007 to 2010 and Tradition Asiel Securities, Inc. from 2004 to 2007.

Ms. Sheridan was fined and suspended for two months from association with any FINRA member broker-dealer by FINRA according to a Letter of Acceptance, Waiver and Consent No. 2015044475901 (AWC).  According to the AWC, Ms. Sheridan violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010 for failing to timely file amendments to her U-4 to report tax liens.  According to the AWC, Ms. Sheridan resigned from North South Capital, LLC two days after she amended her U-4 to report a tax lien.  According to FINRA BrokerCheck records, Ms. Sheridan’s suspension started on May 16, 2016 and ends on July 15, 2016.