Convergex Execution Solutions LLC

Financial crime

United States. Named in 7 sanctions listings.

Sanctions and listings7

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130358257-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Convergex Execution Solutions, LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Convergex Execution Solutions, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2013035825701data-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
10/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150447282-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Convergex Execution Solutions LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Convergex Execution Solutions LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged
Reference 2015044728201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140406670-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Convergex Execution Solutions LLC, Respondent BD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, the Respondent, Convergex Execution Solutions LLC ("CES" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014040667001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100214834-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Convergex Execution Solutions LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Convergex Execution Solutions LLC ("ECUT" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2010021483401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120330969-O1 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ConvergEx Execution Solutions, LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ConvergEx Execution Solutions, LLC (the "firm") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2012033096901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090176568-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ConvergEx Execution Solutions LLC, Respondent Broker-Dealer CRD No. 35693 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNY ConvergEx Execution Solutions LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2009017656801data-portal.finra.org finra.org

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