Pyramid Financial Corp.

Pyramid Financial Corp. (CRD #23181, Cupertino, California) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $25,000, required to establish and implement procedures reasonably designed to verify the adequacy and effectiveness of its system for retaining emails, and the president of the firm is required to certify on a periodic basis, for a year and a half, that the firm is retaining electronic communications. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that the firm, which maintains one office with four registered persons, failed to preserve, for a period of time, communications it sent and received relating to its business, and retain evidence that communications it sent were approved by a principal. (NASD Case #E0120050069-02)

Did you lose money investing with Pyramid Financial Corp.?

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The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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