MORGAN KEEGAN & COMPANY LLC
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347073-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Keegan & Company, LLC, Respondent Broker-Dealer CRD No. 4161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Morgan Keegan & Company, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2012034707301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110301993-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Keegan & Company, LLC ("MOKE"), Respondent Broker-Dealer CRD No. 4161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Morgan Keegan & Company. LLC ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2011030199301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120341405-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Morgan Keegan & Company, LLC, Respondent Broker-Dealer CRD No. 4161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Morgan Keegan & Company, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2012034140501data-portal.finra.orgfinra.org
Other names1
Also known as1
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