Former compliance analyst barred for allegedly refusing to produce information and documents
FINRA Rule 2010 FINRA Rule 8210
StratCap Securities censured and fined for allegedly not maintaining required minimum net capital
Because of their timing a series of transfers between the firm and its parent company “constituted a withdrawal of equity capital within one year of its contribution” rendering them “not allowable”. This resulted in a shortfall in required net capital ranging from approximately $58,000 to approximately $700,000 during a period of 12 consecutive business days.
Exchange Act § 15(c) Exchange Act Rule 15c3-1 FINRA Rule 2010 FINRA Rule 4110
Former securities representative barred for allegedly refusing to provide on-the-record testimony
FINRA Rule 2010 FINRA Rule 8210
Former securities representative barred for allegedly refusing to provide on-the-record testimony
FINRA Rule 2010 FINRA Rule 8210
Former Non-Registered Fingerprint Person suspended and fined for allegedly having access to a cell phone during an exam
FINRA Rule 1210.05 FINRA Rule 2010
Former securities representative suspended and fined for allegedly failing to disclose a felony charge on Form U4
FINRA By-Laws Article V, Section 2(c) FINRA Rule 1122 FINRA Rule 2010
Former products representative barred for allegedly refusing to produce information and documents
FINRA Rule 2010 FINRA Rule 8210
Products representative suspended and fined for allegedly engaging in outside business activity not approved by his employer
FINRA Rule 2010 FINRA Rule 3270
| Unless otherwise noted all respondents accepted and consented to FINRA’s findings without admitting or denying them. |