VectorGlobal WMG

03/16/2026: From at least April 2022 through April 2024, VectorGlobal violated FINRA Rules 3110 and 2010 by failing to establish, maintain, or enforce a supervisory system reasonably designed to achieve compliance with Section 5 of the Securities Act of 1933. For this violation, VectorGlobal is censured and fined $200,000.

Reference 2024081061001data-portal.finra.orgfinra.org

05/15/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046182402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: VectorGlobal WMG, Respondent Broker-Dealer CRD No. 32396 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VectorGlobal WMG (the "firm" or "VectorGlobal") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2015046182402data-portal.finra.orgfinra.org

01/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292157 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: VectorGlobal WMG, Inc., Respondent CRD No. 32396 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, VectorGIobal WMG, Inc. ("Respondent" or "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2011029215701data-portal.finra.orgfinra.org