H.C. Wainwright & Co.

H.C. Wainwright & Co. is a full-service investment bank dedicated to advancing the life sciences.

CCI Score

-53.98

0.03% April 18

Latest Event

Regulatory Investigation and FINRA Fine

H.C. Wainwright & Co. is under investigation for alleged breaches of the Securities Exchange Act and failure to supervise staff communications, resulting in a $1.5M FINRA fine. This incident raises serious concerns over the firm’s adherence to regulatory and ethical standards, potentially jeopardizing investor trust.

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QUISLING

H.C. Wainwright & Co. is currently rated as a Quisling.

-44 to -59 CCI Score

These companies are fully aligned with authoritarian regimes. They not only support but also enforce oppressive policies, playing a significant role in the regime’s operational apparatus and contributing directly to its consolidation of power.

Latest Events

MAR

13

2025

Regulatory Investigation and FINRA Fine
-69.30

H.C. Wainwright & Co. is under investigation for alleged breaches of the Securities Exchange Act and failure to supervise staff communications, resulting in a $1.5M FINRA fine. This incident raises serious concerns over the firm’s adherence to regulatory and ethical standards, potentially jeopardizing investor trust.
-70

Business Practices and Ethical Responsibility

March 29

The firm's alleged violations, including failing to supervise communications and shortcomings in disclosure, demonstrate a significant lapse in business practices and ethical responsibility. Such regulatory non-compliance undermines investor protections and contributes to a broader climate of corporate irresponsibility, which are concerning from an anti-authoritarian perspective.

H.C. Wainwright & Co. Under Investigation Over Alleged Violations; Faces $1.5M FINRA Fine
SEP

23

2022

H.C. Wainwright & Co. Fined for Supervisory and Compliance Failures
-38.66

On September 23, 2022, FINRA issued a Letter of Acceptance, Waiver and Consent against H.C. Wainwright & Co., censuring the firm, fining it $1,500,000, and mandating improvements in its supervisory systems and procedures. The disciplinary action stemmed from failures in preserving business-related communications and inadequate supervision of employees, which raised concerns about potential conflicts between investment banking interests and research integrity.
-50

Business Practices and Ethical Responsibility

March 29

This disciplinary action highlights significant shortcomings in internal supervisory practices and ethical standards. The failure to adequately preserve business-related communications not only undermines transparency and accountability but also raises concerns about conflicts of interest between investment banking and research functions. Such lapses in ethical responsibility and business practices contribute negatively to corporate governance, aligning with deeper issues of corporate misconduct.

PDF Disciplinary and Other FINRA Actions