INSTITUTIONAL CAPITAL MANAGEMENT INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022679801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Institutional Capital Management, Inc., Respondent [CRD No. 41055] and Daniel L. Ritz, Jr., Respondent [CRD No. 1977521] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Institutional Capital Management, Inc. and Daniel L. Ritz, Jr. (hereinafter, "Respondents") submit this Letter of Acceptance, Waiver and Consent
Reference 2010022679801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090165813-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Institutional Capital Management, Inc., Respondent Broker-Dealer CRD No. 41055 Daniel Lee Ritz Jr., Respondent CRD No. 1977521 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Institutional Capital Management, Inc. ("ICMH" or the "Firm") and Daniel Lee Ritz Jr. ("Ritz") (collectively, "Respondents") submit this
Reference 2009016581301data-portal.finra.org finra.org

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