Cambria Capital LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/17/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072094101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cambria Capital, LLC (Respondent) Member Firm CRD No. 133760 Pursuant to FINRA Rule 9216, Respondent Cambria Capital, LLC 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 2021072094101finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007402901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cambria Capital LLC, Respondent Member Firm CRD No. 133760 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent, Cambria Capital LLC, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2007007402901data-portal.finra.orgfinra.org
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