Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

FINRA Disciplinary Actions Online

Displaying 1 - 15 of 568
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2019060721801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060721801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Growth Capital Services, Inc. (Respondent) Member Firm CRD No. 124658 Pursuant to FINRA Rule 9216, Respondent Growth Capital Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the AWCs (Letters of Acceptance, Waiver, and Consent)
Growth Capital Services, Inc.
01/15/2021
2017056432601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017056432601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Worden Capital Management LLC (Respondent) Member Firm CRD No. 148366 Jamie J. Worden (Respondent) General Securities Principal CRD No. 4637404 Pursuant to FINRA Rule 9216, Respondents Worden Capital Management LLC (WCM) and Jamie J. Worden (Worden) submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing AWCs (Letters of Acceptance, Waiver, and Consent)
Worden Capital Management LLC
Jamie J. Worden
12/31/2020
2016047696701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047696701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: RBC Capital Markets, LLC, Respondent Member Firm CRD No. 31194 Pursuant to FINRA Rule 9216, Respondent RBC Capital Markets, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
RBC Capital Markets, LLC
12/15/2020
2017054054501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054054501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc. (Respondent) Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216, Respondent Barclays Capital Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Barclays Capital Inc.
12/01/2020
2016052398201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052398201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: VIRTU Americas LLC (f/k/a KCG Americas LLC and Knight Capital Americas LLC) (Respondent) Member Firm CRD No. 149823 Pursuant to FINRA Rule 9216, Respondent VIRTU Americas LLC (f/k/a KCG Americas LLC and Knight Capital Americas LLC) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
VIRTU Americas LLC (f/k/a KCG Americas LLC and Knight Capital Americas LLC)
11/23/2020
2015048347902 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048347902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Capital City Securities, LLC, Respondent Member Firm CRD No. 146001 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Capital City Securities, LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Capital City Securities, LLC
09/23/2020
2015044133101 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044133101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Barclays Capital Inc., Respondent Member Firm CRD No. 19714 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Barclays Capital Inc. (Barclays or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Barclays Capital Inc.
08/25/2020
2017055668501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055668501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: BMO Capital Markets Corp., Respondent Member Firm CRD No. 16686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BMO Capital Markets Corp. (“BMO"’ or the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
BMO Capital Markets Corp.
07/22/2020
3-18554 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 89260 / July 8, 2020 Admin. Proc. File No. 3-18554 In the Matter of the Application of COMMONWEALTH CAPITAL SECURITIES CORP. For Review of Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DENIAL OF MEMBERSHIP CONTINUANCE APPLICATION SEC Decisions
Commonwealth Capital Securities Corp.
07/08/2020
2017054925801 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054925801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chardan Capital Markets, LLC, Respondent Member Firm CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chardan Capital Markets, LLC (the “Firm,” “Respondent” or “Chardan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule AWCs (Letters of Acceptance, Waiver, and Consent)
Chardan Capital Markets, LLC
07/07/2020
2019060650601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060650601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Avanza Capital Markets Inc., Respondent Member Firm CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avanza Capital Markets Inc. ("Avanza" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Avanza Capital Markets Inc.
07/01/2020
2015047727501 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047727501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: WestPark Capital, Inc., Respondent Member Firm CRD No. 39914 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, WestPark Capital, Inc. (“WestPark” or “the firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
WestPark Capital, Inc.
06/26/2020
2018057742601 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNY Mellon Capital Markets, LLC, Respondent Member Firm CRD No. 17454 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent BNY Mellon Capital Markets, LLC ("BNY" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
BNY Mellon Capital Markets, LLC
06/25/2020
2017054462001 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axiom Capital Management, Inc., Respondent Member Firm CRD No. 26580 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Axiom Capital Management, Inc. (“Axiom” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Axiom Capital Management, Inc.
05/26/2020
2016048256701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048256701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Arive Capital Markets, LLC, Respondent Member Firm CRD No. 8060 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Arive Capital Markets, LLC ("Arive" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Arive Capital Markets, LLC
03/27/2020