Beta Capital Management L.P.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140401146-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Managernent, L.P., Respondent Broker-Dealer CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Management, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014040114601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014401501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Management, L.P., Respondent Member CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Management, L.P. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2008014401501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024016701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Management, L.P., Respondent Member CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Beta Capital Management, L.P. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2010024016701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030482901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Beta Capital Management, L.P, Respondent Member CRD No. 38964 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Beta Capital Management, L.P. ("Beta") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2012030482901data-portal.finra.org finra.org

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