1717 CAPITAL MANAGEMENT COMPANY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112002095801 TO: Department of Enforcement NASD RE: 1717 Capital Management Company BD No. 4082 Pursuant to Rule 9216 of NASD Code of Procedure, we submit 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 actions against us alleging violations based on the same
Reference E112002095801data-portal.finra.orgfinra.org
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.