CONSULTIVA SECURITIES INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030484301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Consultiva Securities, Inc., n/k/a Fairbridge Capital Markets, Respondent Member CRD No. 103818 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Consultiva Securities, Inc., n/k/a Fairbridge Capital Markets (the ''Firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2012030484301data-portal.finra.orgfinra.org
Other names1
Also known as1
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.