Category Archives: Bolton Global Capital

Bolton Global Capital Sanctioned by Regulators – Failed to Deliver Prospectus on ETF Sales

June 9, 2015

Bolton Global Capital ,  entered into a Letter of Acceptance Waive and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  from at least May 2011 through May 2012, they failed to provide prospectuses to customers who purchased exchange traded funds (ETFs) as required by securities laws.

Bolton Global Capital  was censured and  fined $35,000 .

Disciplinary Proceeding NO. 2012030523201

Bolton Global Capital is based in Bolton, MA, and has 115 representatives in 53 branch offices.

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