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September 1, 2016
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Blog, Current Investigations
Has Mark Hotton caused you Investment Losses? The August 11th episode of “American Greed” aired on CNBC- TV covering Mark Hotton’s much-publicized guilty plea in 2013 to fraud charges after promising funding to the producers of the planned Broadway production “Rebecca: The Musical.” Apparently, Mark
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April 1, 2015
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Blog, Securities Fraud
The Financial Industry Regulatory Authority (FINRA) recently imposed a hefty fine on the broker dealer, Oppenheimer & Co. Inc, for failure to adequately supervise their employee Mark Hotton. The firm was fine $2.5 million and ordered to pay $1.25 million in restitution. According to FINRA, Oppenheimer failed to
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