Brookville Capital Partners LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Lodati (CRD No. 4877082), and Brookville Capital Partners, LLC (CRD No. 102380), Respondents. DISCIPLINARY PROCEEDING No. 2012030969801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brookville Capital Partners, LLC ("Brookville" or "the Firm") and its President, Anthony Lodati ("Respondents"), defrauded customers in connection with the sale
03/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ANTHONY LODATI (CRD NO. 4877082), AND BROOKEVILLE CAPITAL PARTNERS, LLC (CRD NO. 102380), RESPONDENTS. Disciplinary Proceeding No. 2012030968601 Hearing Officer: DMF Date: March 12, 2015 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2012030968601 was filed on May 22, 2014, by the Department of Enforcement of the Financial Industry
Reference 2012030968601data-portal.finra.org finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011678303 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brookville Capital Partners LLC, Respondent, formerly known as New Castle Financial Services LLC BD No. 102380 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brookville Capital Partners LLC, formerly known as New Castle Financial Services LLC (also referenced as "New Castle," the "Firm," or "Respondent") submits
Reference 2008011678303data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2013: FINANCIAL, INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025868701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brookville Capital Partners LLC (BD No. 102380) Financial and Operations Principal, General Securities Representative, General Securities Principal, Limited Representative - Investment Banking, and Operations Professional (CRD No. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Brookville Capital Partners
Reference 2011025868701data-portal.finra.org finra.org

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