CABRERA CAPITAL MARKETS INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A20040071-01 TO: Department of Enforcement NASD RE: Cabrera Capital Markets, Inc. Broker-Dealer CRD No. 10081 Pursuant to Rule 9216 of NASD Code of Procedure, Cabrera Capital Markets, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference E8A2004007101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003849301 To: Department of Enforcement NASD Re: Cabrera Capital Markets, Inc. Broker Dealer (CRD No. 10081) Pursuant to Rule 9216 of NASD Code of Procedure, Cabrera Capital Markets, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference 2006003849301finra.orgdata-portal.finra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.