GVC CAPITAL LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070080603-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GVC Capital LLC, Respondent Broker-Dealer CRD No. 38923 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GVC Capital LLC (formerly known as Bathgate Capital Partners LLC during all relevant times to this AWC) (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2007008060301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026662701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GVC Capital, LLC Respondent CRD No. 38923 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GVC Capital, L.LC (''GVC," "the firm" or "Respondent") submits the 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
02/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026662701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GVC Capital, LLC Respondent CRD No. 38923 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GVC Capital, LLC (''GVC," "the firm" or "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 submitted
Reference 2011026662701data-portal.finra.org finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080133538-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: GVC Capital LLC (f/k/a Bathgate Capital Partners LLC), Respondent Broker-Dealer . CRD No. 38923 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GVC Capital LLC (f/k/a Bathgate Capital Partners LLC) (the "firm" of "BCPI") submits this Letter
Reference 2008013353801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005002701 TO: Department of Enforcement NASD RE: Bathgate Capital Partners LLC, Respondent Member Firm CRD No. 38923 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted,
Reference E3A2005002701data-portal.finra.org finra.org

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