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Catherine Sheridan Has Regulatory Sanction

Catherine SheridanPublic records published by the Financial Industry Regulatory Authority (FINRA) on June 13, 2016 indicate that Boston-based Race Rock Capital broker Catherine Sheridan has been suspended by FINRA. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from 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 has received three pending customer complaints and one regulatory sanction.

In April 2016, FINRA sanctioned Catherine Sheridan following allegations she “willfully failed to timely amend her Form U4 to disclose federal income tax liens of $288,976 filed against her.” She was issued a two-month suspension and a fine of $10,000.

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

In January 2016, the Internal Revenue Service filed 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, committed fraud. The customer is seeking $880,000 in damages in the pending complaint.

In March 2015, a customer alleged Catherine Sheridan, while employed at Tradition Asiel Securities, Sound Securities and others, participated in “a multi-million dollar fraud” constituting the sale of unregistered securities by the now-defunct Ulysses Securities. Ms. Sheridan allegedly “took a draw of $45,000 a month and at least $2 million in total proceeds from an unproven and unprofitable startup,” but did not disclose her involvement to her investors. The customer seeks unspecified damages in the pending complaint.

If you have lost money investing with Catherine Sheridan, you may be able to collect a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your claim, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.