EFG Capital International Corp.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120317707-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EFG Capital International Corp., Respondent Broker-Dealer CRD No. 40118 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, EFG Capital International Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2012031770701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201504602002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EFG Capital International Corp. ("EFG" or "Firm"), Respondent CRD No. 40118 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing as settlement of the alleged rule violations
Reference 201504602002data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017982801 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EFG Capital International Corp., Respondent Broker-Dealer CRD No. 40118 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, EFG Capital International Corp. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2009017982801data-portal.finra.org finra.org

Other names2

Weak aliases2

Spellings the source flags as too generic to establish a match on their own.

FirmEFG

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