Skip to main content

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

FINRA Disciplinary Actions Online

Displaying 1 - 1 of 1
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2014038995701 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014038995701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Quest Capital Strategies, Inc., Respondent Member Firm CRD No. 16783 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Quest Capital Strategies, Inc. ("Quest," "Respondent," or "the Firm") 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)