GLOBAL ARENA CAPITAL CORP

06/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Global Arena Capital Corp (CRD No. 16871), Respondent. Disciplinary Proceeding No. 20110265443 COMPLAINT The Department of Market Regulation alleges: Summary 1. From October 2010 through at least June 2013 ("the review period"), Global Arena Capital Corp ("Global Arena" or "the firm"), a FINRA member broker-dealer, engaged in a pattern of charging excessive and unfair markups/markdowns to

12/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. GLOBAL ARENA CAPITAL CORP (CRD No. 16871), Respondent. Disciplinary Proceeding No. 20110265443-01 Hearing Officer-MC DEFAULT DECISION December 7, 2015 Respondent Global Arena Capital Corp charged customers unfair and unreasonable prices and excessive markups. The Firm also failed to establish, maintain, and enforce a supervisory system reasonably designed to achieve compliance with

Reference 2011026544301data-portal.finra.orgdata-portal.finra.orgfinra.org

07/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016141101 TO: Department of Enforcement Finaincial Industry Regulatory Authority ("FINRA") RE: Global Arena Capital Corp., Respondent (BD No. 16871) 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.

Reference 2009016141101finra.orgdata-portal.finra.org