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Catherine Sheridan Faces Three Pending Complaints

 Catherine SheridanBoston-based Race Rock Capital broker Catherine Sheridan is the subject of pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sheridan (CRD# 1203915).

Catherine Sheridan has spent 30 years in the securities industry and has been registered with Race Rock Capital, LLC in Boston, Massachusetts since 2015. Previous registrations include North South Capital in Chicago, Illinois (2010-2015); Sound Securities in Jericho, New York (2007-2010); Tradition Asiel Securities in Chicago (2004-2007); Orion Securities in Toronto, Ontario (1999-2004); Midland Walwyn Capital Corporation (1984-1999); and Merrill Lynch in New York, New York (1998). Ms. Sheridan is a registered broker in Texas and Wisconsin.

According to her BrokerCheck report, Catherine Sheridan is the subject of three pending customer complaints and one tax lien.

In March 2016 a customer alleged Catherine Sheridan, while employed at Tradition Asiel Securities and others, “participated in an investment fraud.” The customer is seeking $1,400,000 in damages in the pending complaint.

In January 2016 the Internal Revenue Service reported a lien of $189,758.32 against Catherine Sheridan. The lien remains unsatisfied.

In October 2015 a customer alleged Catherine Sheridan, while employed at Tradition Asiel Securities, Ulysses Partners and others, “participated in an investment fraud.” The customer is seeking $880,000 in damages in the pending complaint.

In 2015 a customer alleged Catherine Sheridan, while employed at Tradition Asiel Securities, Sound Securities and others, benefited from a “a multi-million dollar fraud” committed on more than 30 investors. The alleged fraud involved the sale of unregistered securities by Ulysses Securities, which is now defunct. Catherine Sheridan allegedly “took a draw of $45,000 a month and at least $2 million in total proceeds from an unproven and unprofitable startup,” without disclosing her involvement to the investors in question. The customer seeks unspecified damages in the pending complaint.

If you or someone you know has complaints regarding Catherine Sheridan, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on contingency: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.

All information in this article made public by FINRA on April 18, 2016.