Samuel A. Ramirez & Co. Inc.
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/14/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057742101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Samuel A Ramirez & Co., Inc. (Respondent) Member Firm CRD No. 6963 Pursuant to FINRA Rule 9216, Respondent Samuel A Ramirez & Co., Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057742101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035266401 TO: Department of Enforcement, Financial Industry Regulatory Authority ("FINRA") RE: Samuel A. Ramirez & Co., Inc., Respondent FINRA Member Firm CRD No. 6963 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Samuel A. Ramirez & Co., Inc. ("S.A. Ramirez" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2013035266401finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100209938-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Samuel A. Ramirez & Co., Inc., Respondent Member Firm BD No. 6963 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Samuel A. Ramirez & Co., Inc. (S.A. Ramirez" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2010020993801data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100217845-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Samuel A. Ramirez & Co., Inc., Respondent Broker-Dealer CRD No. 6963 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Samuel A. Ramirez & Co., Inc. (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.
Reference 2010021784501data-portal.finra.orgfinra.org
Other names2
Also known as2
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