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Post# of 105598
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kayakzz

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kayakzz

Re: LongTimeObserver post# 75334

Tuesday, 07/26/2016 5:03:03 PM

Tuesday, July 26, 2016 5:03:03 PM

Post# of 105598
No PP sales for CP Capital. FINRA hit them with a 70K fine 4/29/2016 and said the following:

THE FIRM WAS CENSURED, FINED $70,000, AND IS REQUIRED TO RETAIN
AN INDEPENDENT CONSULTANT TO REVIEW ITS WSPS CONCERNING ITS
PARTICIPATION IN PRIVATE PLACEMENT AND MINIMUM CONTINGENCY
OFFERINGS. UNTIL THE FIRM ADOPTS AND IMPLEMENTS THE
RECOMMENDATIONS OF THE INDEPENDENT CONSULTANT, THE FIRM
SHALL REFRAIN FROM ENGAGING IN ANY PRIVATE PLACEMENT OR
MINIMUM CONTINGENCY OFFERINGS.



http://disciplinaryactions.finra.org/Search/ViewDocument/66105

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