Tag Archives: Ascendiant Capital Markets LLC

FINRA Censures Ascendiant Capital Markets for Fraud

March 22, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Ascendiant Capital Markets LLC is a broker-dealer headquartered in Irvine California who has been censured and fined $60,000.00 by Financial Industry Regulatory Authority (FINRA) according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings that the firm (1) engaged in securities fraud, (2) charged prices that were excessive and unreasonable, […]

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