QVT FINANCIAL LP ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 156508
- Firm name
- QVT FINANCIAL LP
- Other names / DBAs
- QVT ADVISORS PRIVATE LIMITED (RELYING ADVISER); QVT FINANCIAL SINGAPORE PTE. LTD. (RELYING ADVISER); QVT FINANCIAL LP; QVT FINANCIAL LLP (RELYING ADVISER); QVT ASIA PACIFIC LIMITED (RELYING ADVISER)
- IA scope
- ACTIVE
- SEC IA file
- 801-73049
- Branches
- 1
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10106, United States
Run KYC screen
Check QVT FINANCIAL LP across OFAC + UFLPA + CSL + SAM + OIG + DOJ + CFTC + CFPB + courts + Fed + NHTSA + CISA + FINRA ↗