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Strategies & Market Trends : Anthony @ Equity Investigations, Dear Anthony,
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To: StockDung who wrote (80443)9/25/2002 7:53:14 AM
From: SEC-ond-chance  Read Replies (2) of 122087
 
NASD Member Firm: VFINANCE CAPITAL LC
CRD Number: 46528

Applicant Name on Form BD: VFINANCE CAPITAL LC
SEC Number: 8-051437

Prior Business Names:

PINNACLE CAPITAL GROUP,L.C.
UNION ATLANTIC CAPITAL LC

Business Phone Number: (212) 317-3318

Main Office Address Located in NASD District: 10-New York
830 THIRD AVE
6TH FLOOR
NEW YORK, NY 10022

Mailing Address
830 THIRD AVE
6TH FLOOR
NEW YORK, NY 10022




******** REGULATORY ACTION (1 of 1) ********


Reporting Source: Regulator (Form U-6)

Date Reported: 11/26/2001

Initiated By: CALIFORNIA DEPARTMENT OF CORPORATIONS

Date initiated: 08/20/2001

Docket/
Case Number:


Allegations: FAILURE TO REMIT ASSESSMENT FEE

Current Status: Final

Resolution: Order

Resolution Date: 08/20/2001

Sanctions
Ordered: Revocation/Expulsion

Resolution
Details: BROKER-DEALER CERTIFICATE ISSUED TO UNION ATLANTIC CAPITAL,
L.C. WAS SUMMARILY REVOKED FOR NON-PAYMENT OF ASSESSMENT FEE.

NASD Public Disclosure Program September 25, 2002 Page 4
This information is current as of: 09/25/2002
________________________________________________________________________________
NASD Member Firm: VFINANCE CAPITAL LC
CRD Number: 46528

REGULATORY ACTIONS(cont.)


Summary:


************ END OF REPORT ************
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