BETTERMENT SECURITIES
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048047101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: MTG LLC d/b/a Betterment Securities, Respondent Member Firm No. 47788 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent MTG LLC, d/b/a Betterment Securities ("Betterment Securities" or the "Firm") submits this Letter of Acceptance, Waiver and Consent
Reference 2015048047101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120304068-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA"). RE: Betterment Securities, Respondent Broker-Dealer BD No. 47788 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Betterment Securities ("Betterment Securities") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2012030406801data-portal.finra.orgfinra.org
Other names2
Also known as1
Weak aliases1
Spellings the source flags as too generic to establish a match on their own.
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