Crown Capital Securities L.P.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014038990602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Crown Capital Securities, L.P., Respondent Member Firm CRD No. 6312 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014038990602data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065136101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crown Capital Securities, L.P. (Respondent) Member Firm CRD No. 6312 Pursuant to FINRA Rule 9216, Respondent Crown Capital Securities, L.P., submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065136101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068109001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Crown Capital Securities, L.P. (Respondent) Member Finn CRD No. 6312 Pursuant to FINRA Rule 9216, Respondent Crown Capital Securities, L.P. 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
Reference 2020068109001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120322966-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Crown Capital Securities, L.P., Respondent Broker-Dealer CRD No. 6312 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Crown Capital Securities, L.P. (the “firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2012032296601finra.org data-portal.finra.org

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