BTG Pactual US Capital LLC

05/14/2025: Between January 2018 and November 2022, BTG violated FINRA Rules 3310(a), 3310(f), and 2010 by failing to establish and implement policies and procedures for its anti-money laundering (AML) compliance program that could be reasonably expected to detect and cause the reporting of suspicious transactions. Among other things, the firm's policies and procedures did not reasonably address how the firm's AML monitoring of customers' wire transfer requests, both pre- and post-approval, would be performed and documented. As a result, BTG is censured and fined $400,000.

Reference 2020065115301finra.orgdata-portal.finra.org

03/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120304090-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BTG Pactual US Capital, LLC, Respondent ("BTG Pactual" or the "Firm") BD No. 149486 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 2012030409001data-portal.finra.orgfinra.org