HOULIHAN CAPITAL LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043654701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Houlihan Capital, LLC, Respondent CRD No. 156028 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 oft he alleged rule violations described below. This AWC is submitted on the condition that, if
Reference 2015043654701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045347101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Houlihan Capital, LLC, Respondent Member Firm CRD No. 156028 Andrew Smith, Respondent Registered Principal and Registered Representative CRD No. 2433015 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Houlihan Capital, LLC and Andrew Smith submit this Letter of Acceptance, Waiver and Consent
Reference 2015045347101finra.orgdata-portal.finra.org
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