Salomon Whitney LLC

Financial crime

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022290801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Salomon Whitney, LLC ("Salomon Whitney" or the "Firm") (BD No. 145012 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Salomon Whitney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2010022290801data-portal.finra.org finra.org
Official designation
Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States
sec.gov sec.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2010022181901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Salomon Whitney LLC CRD No. 145012 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Salomon Whitney LLC ("SW" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2010022181901data-portal.finra.org finra.org

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