Tag Archives: Cabrera Capital Markets

FINRA Fines Cabrera Capital For Failure To Supervise

November 01, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Cabrera Capital Markets, LLC, a brokerage firm headquartered in Chicago, Illinois, was censured and fined $25,000.00 by Financial Industry Regulatory Authority (FINRA) based upon allegations that the firm, inter alia, failed to supervise the underwriting of municipal securities issued through the firm. Letter of Acceptance, Waiver and Consent, No. 2015043640701 (Oct. 12, 2017). According to […]

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