Chardan Capital Market LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030509803 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Chardan Capital Markets LLC ("AABA" or the "firm"), Respondent Broker-Dealer CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chardan Capital Markets, LLC ("Respondent"
Reference 2011030509803data-portal.finra.orgfinra.org
Other names2
Also known as2
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