Trowbridge Capital Partners Llc.

Allegations: ON AUGUST 24,2023 TROWBRIDGE OFFERED, AND THE SEC AGREED TO ACCEPT, A SETTLEMENT REGARDING ALLEGED VIOLATIONS OF SECTION 206(4) OF THE ADVISERS ACT AND RULE 206(4)-1(D) THEREUNDER. THE SEC ALLEGED THAT TROWBRIDGE ADVERTISED HYPOTHETICAL PERFORMANCE ON ITS PUBLIC WEBSITE WITHOUT ADOPTING AND IMPLEMENTING POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE THAT THE HYPOTHETICAL PERFORMANCE WAS RELEVANT TO THE LIKELY FINANCIAL SITUATION AND INVESTMENT OBJECTIVES OF THE INTENDED AUDIENCE. AS PART OF THE SETTLEMENT WITH THE SEC, TROWBRIDGE AGREED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $60,000.00 AND TO EVALUATE, UPDATE, AND REVIEW TROWBRIDGE'S APPLICABLE POLICIES AND PROCEDURES CONCERNING ADVERTISEMENTS THAT INCLUDE HYPOTHETICAL PERFORMANCE. AS PART OF THE SETTLEMENT, TROWBRIDGE NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. Status: Final Sanction Detail: TROWBRIDGE ENTERED INTO AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING FAULT, AGREED TO PAY A CIVIL MONETARY FINE OF $60,000 AND IS NOW FULLY COMPLIANT. Summary: TROWBRIDGE ENTERED INTO AN OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING FAULT, AGREED TO PAY A CIVIL MONETARY FINE OF $60,000 AND IS NOW FULLY COMPLIANT.