Louis Capital Markets LP
Financial crimeUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160499014-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Louis Capital Markets, LP, Respondent Broker-Dealer CRD No. 48013 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Louis Capital Markets, LP (the ''firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2016049901401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT 2017052473701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC) (Respondent) Member Firm CRD No. 48013 Pursuant to FINRA Rule 9216, Respondent Louis Capital Markets, LP submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017052473701finra.orgdata-portal.finra.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.