DAIWA CAPITAL MARKETS AMERICA INC
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008016166901 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Capital Markets America Inc. Broker-Dealer CRD No. 1576 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daiwa Capital Markets America Inc. (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.
Reference 2008016166901data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20110297987-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Capital Markets America Inc., Respondent Broker-Dealer CRD No. 1576 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daiwa Capital Markets America Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011029798701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150474206 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Capital Markets America Inc., Respondent Member Firm BD No. 1576 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Daiwa Capital Markets America, Inc., submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015047420601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100236877-XX TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daiwa Capital Markets America, Inc. ("Daiwa" or the "Firm"), Respondent CRD No. 1576 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 described below. This AWC is
Reference 2010023687701finra.orgdata-portal.finra.org
Other names1
Also known as1
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