Cabrera Capital Markets LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043640701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Cabrera Capital Markets, LLC (“Respondent” or “Cabrera”) CRD No. 10081 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent submits this Letter of
Reference 2015043640701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057161001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cabrera Capital Markets, LLC (Respondent) Member Firm CRD No. 10081 Pursuant to FINRA Rule 9216, Respondent Cabrera 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. This AWC is submitted on the condition
Reference 2018057161001data-portal.finra.orgfinra.org
Other names2
Also known as2
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