HUNTINGTON INVESTMENT COMPANY
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041679801 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: The Huntington Investment Company, Respondent CRD No. 16986 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, The Huntington Investment Company ("Huntington" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014041679801data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050063 TO: Department of Enforcement NASD RE: The Huntington Investment Company (CRD No. 16986) Pursuant to Rule 9216 of NASD Code of Procedure, The Huntington Investment Company ("Member") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference C8A050063data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/20/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035712201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Huntington Investment Company, Respondent Member CRD No. 16986 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Huntington Investment Company ("Huntington" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2013035712201data-portal.finra.orgfinra.org
Other names1
Also known as1
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