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Avanza Capital Markets Inc.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019060650601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Avanza Capital Markets Inc., Respondent Member Firm CRD No. 103941 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Avanza Capital Markets Inc. ("Avanza" 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 2019060650601data-portal.finra.orgfinra.org

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