COROMANDEL CAPITAL LLC of PASADENA, CA is an SEC exempt reporting adviser (CRD 332656). This firm reports disciplinary history on Form ADV.
| Name | Role | Location |
|---|---|---|
| Luke Andrew Powell | CO-FOUNDER AND MANAGING PARTNER (OPERATIONS) | — |
| Wei Nmn Wu | CO-FOUNDER AND MANAGING PARTNER (RISK); CO-FOUNDER, MANAGING PARTNER (RISK), AND CHIEF COMPLIANCE OFFICER | — |
| Robert G Mcgregor | CO-FOUNDER AND MANAGING PARTNER (INVESTMENTS) | — |
| WU CHEN NMN | CO-FOUNDER AND MANAGING PARTNER (RISK) | — |
| POWELL LUKE ANDREW | CO-FOUNDER AND MANAGING PARTNER (OPERATIONS) | — |
| MCGREGOR ROBERT G | CO-FOUNDER AND MANAGING PARTNER (INVESTMENTS) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-10-30 | regulatory | WHILE ASSOCIATED WITH FLYING CLOUD SECURITIES, LLC, POWELL PARTICIPATED IN PRIVATE SECURITIES TRANSACTIONS TOTALING $350,000 WITHOUT PROVIDING PRIOR WRITTEN NOTICE OR OBTAINING APPROVAL FROM HIS FIRM, IN VIOLATION OF NASD RULE 3040 AND FINRA RULE 2010. | Final | $5K |