SCOTTSDALE CAPITAL ADVISORS CORP
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Scottsdale Capital Advisors Corp. (CRD No. 118786). and Justine Hurry (CRD No. 2765969), Respondents. DISCIPLINARY PROCEEDING No. 2008011593301 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2008011593301 was filed on October 21, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2008011593301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399401-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scottsdale Capital Advisors Corp, Respondent Broker-Dealer CRD No. 118786 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scottsdale Capital Advisors Corp (the ''firm"or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014039940101data-portal.finra.orgfinra.org
Other names1
Also known as1
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