Stoltmann Law Offices is investigating Mark Holcombe who was recently fined and suspended by the Financial Industry Regulatory Authority (FINRA) for allegedly participating in the sale of two separate private securities transactions involving a company for which he was the chairman of the board. Mr. Holcombe sold two million shares of Trident Brands (TDNT) to a third party for $100,000 and participated in the company’s sale of senior secured convertible debentures to the same third party for $2.3 million by executing the note purchase agreement on behalf of the company. This is against securities rules and regulations.
According to his online, FINRA BrokerCheck report, Holcombe was registered with Madison Williams and Company in New York, New York from September 2010 until July 2011, Global Hunter Securities in New York from September 2011 until April 2012 and Source Capital Group in Westport, Connecticut from April 2014 until December 2015. He is currently not registered with any firm. Please call us today at 312-332-4200 to find out how you may be able to sue his former firm, Source Capital Group in the FINRA arbitration forum on a contingency fee basis for investment losses.