GRANTA CAPITAL GROUP LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020030479-02 TO: Department of Enforcement NASD RE: Sky Capital LLC, Respondent BD No. 114657 Pursuant to Rule 9216 of the NASD Code of Procedure, Sky Capital LLC ("Sky Capital") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against
Reference E102003047902data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102003193001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Granta Capital Group LLC, formerly known as Sky Capital LLC, Respondent BD No. 114657 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Granta Capital Group LLC ("Granta" or "the Firm"), formerly known as Sky Capital LLC, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference E102003193001data-portal.finra.orgfinra.org
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