MACQUARIE CAPITAL USA INC.
Financial crimeUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037956901 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Macquarie Capital (USA) Inc., Respondent Broker-Dealer CRD No. 36368 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Macquarie Capital (USA) Inc. ("MACQ" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2013037956901finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/30/2014: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120315068-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Macquarie Capital (USA) Inc., Respondent Broker-Dealer CRD No. 36368 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Macquarie Capital (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the all
Reference 2012031506801finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041862801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Macquarie Capital (USA) Inc. Member Firm CRD No. 36368 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Macquarie Capital (USA) Inc. (''Macquarie" 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 2014041862801data-portal.finra.orgfinra.org
Other names2
Also known as2
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