ICAP Corporates LLC

03/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT ND. 20130354605-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker-Dealer CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporates, LLC ("ICAP", 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

Reference 2013035960501data-portal.finra.orgfinra.org

12/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060064903-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker/Dealer CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, ICAP Corporates LLC ("the firm") 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 2006006490301finra.orgdata-portal.finra.org

12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037264901 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker-Dealer CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporate, LLC ("ICAP", 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

Reference 2013037264901data-portal.finra.orgfinra.org

10/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014038964301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporates LLC ("ICAP" or the ''Firm") 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

Reference 2014038964301data-portal.finra.orgfinra.org

03/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060051583-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker-Dealer CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporates LLC (formerly known as Garban Corporates LLC) (the "firm" or "ICAP") submits this Letter of Acceptance, Waiver and Consent

Reference 2006005158301data-portal.finra.orgfinra.org

12/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039995801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker-Dealer (BD No. 2762) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporates LLC ("ICAP" or the "Firm") 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

Reference 2014039995801data-portal.finra.orgfinra.org

01/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.-20090169991-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ICAP Corporates LLC, Respondent Broker-Dealer CRD No. 2762 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ICAP Corporates LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2009016999101finra.orgdata-portal.finra.org