L.H. ROSS & COMPANY INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/14/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. L.H. ROSS & COMPANY, INC. (BD No. 37920) 2255 Glades Road, Suite 425W Boca Raton, FL 33431 Respondent. Disciplinary Proceeding No. CAF040056 Hearing Officer - DRP PANEL DECISION January 14, 2005 Respondent L.H. Ross & Company, Inc. is fined $500,000 and expelled from NASD membership for violating: (1) NASD Conduct Rule 2110 and Section 5 of the Securities Act of 1993, by participating in public offerings and sales of unregistered
Reference CAF040056data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. LH ROSS & COMPANY, INC. (BDNo. 37920) FRANKLYN ROSS MICHELIN (CRD No. 2459180) Respondents. Disciplinary Proceeding No. C07040074 Hearing Officer - DMF HEARING PANEL DECISION January 25, 2005 Respondent firm is expelled from NASD membership and Respondent individual is barred from associating with any NASD member in any capacity for failing to provide certain
Reference C07040074data-portal.finra.orgfinra.org
Other names1
Also known as1
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