ASSENT LLC

Regulator action

United States. Named in 13 sanctions listings.

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Sanctions and listings13

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070088824-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Assent LLC (the "firm" or "Assent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2007008882402data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060062045-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Assent LLC, (the "firm") 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 2006006204501finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399422-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage & Securities Services LLC, (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2014039942201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110268008-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Sungard Brokerage & Securities Services, LLC, f/k/a Assent, LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sungard Brokerage & Securities Services, LLC (the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2011026800801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 20110261077-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage. & Securities Services, LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2011026107701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000042-03 TO: Department of Market Regulation NASD RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to Rule 9216 of the NASD Code of Procedure, Assent LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a setUement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if
Reference 2004100004203data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110307521-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services, LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage & Securities Services, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2011030752101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050014668-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Assent LLC (the "firm") 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 2005001466801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20110249987-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services, LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage & Securities Services, LLC (the “firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2011029998701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215876-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Assent LLC, (the ''firm") 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 2010021587601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358292-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage & Securities Services LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2013035829201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050017652-02 TO: Department of Market Regulation NASD RE: Assent LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to Rule 9216 of NASD Code of Procedure, Assent LLC (the "firm") 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 against
Reference 2005001765202data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130354891-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: SunGard Brokerage & Securities Services LLC, Respondent Broker-Dealer CRD No. 104162 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, SunGard Brokerage & Securities Services LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013035489101data-portal.finra.org finra.org

Other names2

Also known as1

Sungard Brokerage & Securities Services LLC

Previously known as1

Names the source records this subject as having used before.

Assent LLC

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