TRILLIUM TRADING LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000523-02 TO: Department of Market Regulation NASD RE: Trillium Trading LLC, Respondent Broker-Dealer CRD No. 120064 Cary S. Grill, Respondent Registered Representative CRD No. 2480195 David B. Lazarus, Respondent Registered Representative CRD No. 2738374, and David E. Schwarz, Respondent Registered Representative
Reference 2005000052302data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.** 20050003058-01 TO: Department of Market Regulation NASD RE: Trillium Trading LLC, Respondent Broker-Dealer CRD No. 120064 Pursuant to Rule 9216 of NASD Code of Procedure, Trillium Trading LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2005000305801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070076782-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Trillium Brokerage Services, LLC, f/k/a Trillium Trading LLC, Respondent Broker-Dealer CRD No. 120064 Daniel J. Balber, Respondent Registered Principal CRD No. 2582111 Brian M. Gutbrod, Respondent Registered Representative CRD No. 4568387 James P. Hochleulner, Respondent Registered Representative and
Reference 2007007678201data-portal.finra.org finra.org

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