CP Capital Securities Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007145101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CP Capital Securities, Inc., Respondent CRD No. 15029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CP Capital Securities, Inc. ("CP Capital" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2007007145101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130359968-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: CP Capital Securities, Inc., Respondent Broker-Dealer CRD No. 15029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CP Capital Securities, Inc. (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013035996801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/29/2016: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130380026-01 T0: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CP Capital Securities, Inc., Respondent FINRA Member Firm BD No. 15029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CP Capital Securities, lnc. (the "Firm" or "CP Capital") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013038002601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009015970101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CP Capital Securities. Inc., Respondent CRD No. 15029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009015970101data-portal.finra.org finra.org

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