Bolton Global Capital

11/03/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072622201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bolton Global Capital (Respondent) Member Firm CRD No. 15650 Pursuant to FINRA Rule 9216, Respondent Bolton Global Capital 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 on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021072622201data-portal.finra.orgfinra.org

06/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043276901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bolton Global Capital, Respondent CRD No. 15650 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bolton Global Capital ("Bolton" or "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2015043276901data-portal.finra.orgfinra.org

03/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160494811-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bolton Global Capital, Respondent Broker-Dealer CRD No. 15650 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Bolton Global Capital (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

Reference 2016049481101finra.orgdata-portal.finra.org