CASIMIR CAPITAL L.P.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006836301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Casimir Capital, LP, Respondent CRD No. 105061 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Casimir Capital, LP 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
Reference 2006006836301finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000863101 TO: Department of Enforcement NASD RE: Casimir Capital L.P. Broker-Dealer (BD No. 105061) Pursuant to Rule 9216 of NASD Code of Procedure. Casimir Capital L.P. (Casimir Capital or Respondent) 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
Reference 2005000863101data-portal.finra.orgfinra.org
Other names1
Also known as1
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