Euro Pacific Capital Inc.

04/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048551101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc. (n/k/a A.G.P./Alliance Global Partners Corp.), Respondent Broker-Dealer CRD No. 8361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Euro Pacific Capital, Inc. ("EURP," the "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent

Reference 2016048551101data-portal.finra.orgfinra.org

07/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015429401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc., Respondent CRD No. 8361 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 a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted

Reference 2008015429401finra.orgdata-portal.finra.org

10/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070082885-01 TO:Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc., Respondent Broker-Dealer CRD No. 8361 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Euro Pacific Capital, Inc., (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. This AWC

Reference 2007008288501data-portal.finra.orgfinra.org

07/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215133-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc., Respondent Broker-Dealer CRD No. 8361 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Euro Pacific Capital, Inc. (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 2010021513301data-portal.finra.orgfinra.org

05/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025434001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capital, Inc. (BD No. 8361), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Euro Pacific Capital, Inc. ("EPC" 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 2011025434001data-portal.finra.orgfinra.org

09/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016300801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Euro Pacific Capita], Inc., Respondent CRD No. 8361 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 a settlement of the alleged rule violations

Reference 2009016300801data-portal.finra.orgfinra.org