Chardan Capital Markets LLC

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046871503 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chardan Capital Markets LLC, Respondent Broker-Dealer CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chardan Capital Markets LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2015046871503data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070110055-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Chardan Capital Markets LLC, Respondent Broker-Dealer CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chardan Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent for the purpose of proposing a settlement to the alleged rule violations described below.
Reference 2007011005501finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/15/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION 20050002689-02 TO: Department of Market Regulation NASD RE: Chardan Capital Markets, LLC Respondent Broker/Dealer CRD Number 120128 Pursuant to Rule 9216 of NASD Code of Procedure, Chardan Capital Markets, LLC ("CHDN") 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
Reference 2005000268902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050031683-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Chardan Capital Markets LLC, Respondent CRD No. 120128 Pursuant to Rule 9216 of the FINRA Code of Procedure, Chardan Capital Markets LLC (the ''firm'') 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
Reference 2005003168301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054925801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chardan Capital Markets, LLC, Respondent Member Firm CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chardan Capital Markets, LLC (the “Firm,” “Respondent” or “Chardan”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule
Reference 2017054925801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100254907-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Chardan Capital Markets LLC, Respondent Broker-Dealer CRD No. 120128 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chardan Capital Markets LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2010025490702data-portal.finra.org 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.