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I'm Jeff Sonn, an attorney concentrating on securities fraud and consumer class actions. I use this blog to bring attention to regulatory filings involving financial advisors, current events in securities and cases in the financial services industry, and to help investors understand their rights and options for financial recovery. Questions? Contact me online or call anytime at 844-689-5754

FINRA Censures, Fines Miami, Florida Firm EFG Capital International Corp.

EFG Capital International Corp. (CRD #40118, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $12,500. See FINRA Case #2012031770701.

Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it failed to report S1 transactions in TRACE-eligible corporate debt securities transactions to TRACE within 15 minutes of the execution time. The findings stated that the firm also failed to report P1 transactions in TRACE-eligible securities to TRACE within T+1 of the execution time.

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