Corecap Investments LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056305601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Corecap Investments, LLC, Respondent Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Corecap Investments, LLC, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018056305601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/15/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069368801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CoreCap Investments, LLC (Respondent) Member Firm CRD No. 37068 Pursuant to FINRA Rule 9216, Respondent Corecap Investments, 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 2021069368801data-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.