Beta Capital Securities LLC

06/29/2026: From October 2019 to July 2023, Beta Capital failed to establish and implement an antimoney laundering (AML) program that was reasonably designed to detect and cause the reporting of suspicious transactions. During the same period, the firm’s AML program also failed to include appropriate risk-based procedures for conducting ongoing customer due diligence. For these violations of FINRA Rules 3310(a), 3310(f), and 2010, Beta Capital is censured and fined $145,000.

Reference 2022073419001data-portal.finra.orgfinra.org

10/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048835401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC ("Beta Capital" or the "firm")submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2016048835401finra.orgdata-portal.finra.org

05/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065127101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Creand Securities (Respondent) Member Firm CRD No. 38964 Pursuant to FINRA Rule 9216, Respondent Creand Securities 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 that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020065127101data-portal.finra.orgfinra.org

07/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150443234-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Securities LLC, Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

Reference 2015044323401data-portal.finra.orgfinra.org