Type not stated
Screen this subjectHoopoe Capital Markets LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2025: Between July 2019 and January 2022, HCM failed to file with FINRA any offering documents for five private placement offerings. As a result, HCM violated FINRA Rules 5123 and 2010 and is censured and fined $20,000.
Reference 2023077073701data-portal.finra.orgfinra.org
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