Transcription of Firms Fined Reported for Puma Capital, LLC (CRD® …
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Firms Fined Reported for Puma Capital, LLC (CRD® …
1 Disciplinary and Other FINRA ActionsFirms FinedPuma Capital, LLC (CRD #146744, Purchase, New York) January 2, 2018 A Letter of Acceptance, Waiver and Consent (AWC) was issued in which the firm was censured, Fined $70,000, and required to certify that the firm s policies, systems and procedures (written and otherwise) and training are reasonably designed with respect to the firm s compliance with FINRA Rule 3310 and the requirements of the Bank Secrecy Act, and with Section 5 of the Securities Act of 1933 (Securities Act) and the applicable rules and regulations with the respect to the distribution of unregistered securities.
Disciplinary and Other FINRA Actions 3 DRAoie with regard to municipal trade reporting. The firm’s WSPs failed to provide sufficiently for one of the minimum requirements for adequate WSPs in the area of municipal securities
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