Ascendiant Capital Markets LLC

03/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130356646-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ascendiant Capital Markets, LLC, Respondent Broker-Dealer CRD No. 152912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ascendiant Capital Markets, LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2013035664601data-portal.finra.orgfinra.org

03/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120344551-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ascendiant Capital Markets, LLC, Respondent Broker-Dealer CRD No. 152912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ascendiant Capital Markets, LLC (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

Reference 2012034455101data-portal.finra.orgfinra.org

09/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110306542-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ascendiant Capital Markets, LLC. Respondent Broker-Dealer CRD No. 152912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ascendiant Capital Markets, LLC (the “firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the all

Reference 2011030654201data-portal.finra.orgfinra.org

08/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045508801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ascendiant Capital Markets, LLC (Respondent) Member Firm CRD No. 152912 Pursuant to FINRA Rule 9216, Respondent Ascendiant Capital Markets, LLC (Ascendiant 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

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02/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ascendiant Capital Markets, LLC, CRD No. 152912, Respondent. Disciplinary Proceeding No. 2010023220507 Hearing Officer ____ COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From July 2012 through July 2014 ("the relevant period"), Ascendiant Capital Markets, LLC ("Ascendiant" or "the firm") failed to satisfy important supervisory, disclosure and reporting

Reference 2010023220507finra.orgdata-portal.finra.org

03/15/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASCENDIANT CAPITAL MARKETS, LLC (CRD No. 152912) Respondent. DISCIPLINARY PROCEEDING No. 2014038989201 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 15, 2018 INTRODUCTION Disciplinary Proceeding No. 2014038989201 was filed on December 19, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

12/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASCENDIANT CAPITAL MARKETS, LLC (CRD No. 152912) Respondent. DISCIPLINARY PROCEEDING NO. 2014038989201 COMPLAINT The Department of Enforcement alleges: SUMMARY ACM’s Excessive and Fraudulent Markups 1. Respondent Ascendiant Capital Markets, LLC (ACM) charged unfair and

Reference 2014038989201data-portal.finra.orgdata-portal.finra.orgfinra.org