Perrin, Holden & Davenport Capital Corp.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102002046001 To: Department of Enforcement NASD Re: Perrin, Holden & Davenport Capital Corp. (BD No. 38765) Pursuant to NASD Procedural Rule 9216, Perrin, Holden & Davenport Capital Corp. ("PHD" 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference E102002046001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050008 TO: Department of Market Regulation NASD RE: Perrin, Holden and Davenport Capital Corp., Respondent Broker/Dealer CRD Number 38785 Pursuant to Rule 9216 of NASD Code of Procedure, Perrin, Holden and Davenport Capital Corp. ("PHDC" or "the firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference CLG050008data-portal.finra.orgfinra.org
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.