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26-00309(1).pdf
Amended Award
COINBASE CAPITAL MARKETS CORP
Information
- Reporter ID
- CNBS
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/cnbs
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 08-03-2026 | https://public.s3.com/rule605/cnbs | |
| 07-28-2026 | https://public.s3.com/rule605/apex/ |
ALTRUIST FINANCIAL LLC
Information
- Reporter ID
- ALTR
- Reporter Type
- Broker-Dealer
- Current Report URL
- https://public.s3.com/rule605/altr/
Submission History
| Submit Date | Report URL | Comments |
|---|---|---|
| 09-22-2026 | https://public.s3.com/rule605/altr/ | |
| 07-28-2026 | https://public.s3.com/rule606/altr/ |
2022075967301 RBC Capital Markets LLC CRD 31194 AWC lp .pdf
From February 2016 through September 2023, RBC failed to develop and implement an
anti-money laundering (AML) compliance program reasonably designed to detect and
cause the reporting of suspicious transactions, in violation of FINRA Rules 3310(a),
3310(f)(ii) and 2010.
For these violations, RBC is censured and fined $275,000.