Global Emerging Capital Group LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014038913201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'') RE: Global Emerging Capital Group, LLC (f/k/a Radnor Research & Trading LLC), Respondent Member Firm CRD No. 130120 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Emerging Capital Group (f/k/a Radnor Research & Trading LLC) (the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC ) for the purpose
Reference 2014038913201data-portal.finra.orgfinra.org
Other names1
Also known as1
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