FIRST AMERICAN CAPITAL AND TRADING CORPORATION

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042951-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First American Capital and Trading Corporation, Respondent Broker/Dealer 118812 Pursuant to Rule 9216 of the FINRA Code of Procedure, First American Capital and Trading Corporation ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2006004295101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF2004044701 TO: Department of Enforcement NASD RE: First American Capital and Trading Corporation, (f/k/a STC Securities, Inc.) Respondent Broker-Dealer [CRD No. 118812] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference SAF2004044701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070091943 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First American Capital and Trading Corporation Broker-Dealer CRD No. 118812 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. First American Capital and Trading Corporation (FACT or Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2007009194301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20100211648-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: First American Capital and Trading Corporation, Respondent Broker-Dealer CRD No. 118812 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, First American Capital Trading Corporation (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2010021164801data-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.