JOSEPH GUNNAR & CO. L.L.C.

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/23/2005: NASD LETTER OF ACCEPTANCE,WAIVER AND CONSENT NO.## E102002034201 TO: Department of Enforcement NASD RE: Joseph Gunnar & Co. L.L.C. (BD No. 24795) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Joseph Gunnar & Co, LLC. ("Gunnar" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future
Reference E102002034201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/04/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056487101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Gunnar & Co. LLC (Respondent) Member Firm CRD No. 24795 Pursuant to FINRA Rule 9216, Respondent Joseph Gunnar & Co. LLC submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018056487101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039507102 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Joseph Gunnar & Co. LLC, Respondent BD No. 24975 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Joseph Gunnar & Co. LLC (“Gunnar,” the “Firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule
Reference 2013039507102data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060648401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph Gunnar & Co. LLC (Respondent) Member Firm CRD No. 24795 Pursuant to FINRA Rule 9216, Respondent Joseph Gunnar & Co. LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019060648401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## E102005022102 TO: Department of Enforcement NASD RE: Joseph Gunnar & Co., LLC (BD No. 24795) Pursuant to Rule 9216 of NASD Code of Procedure, Joseph Gunnar & Co., LLC ("Respondent" or "Joseph Gunnar") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the on the condition that, if accepted, NASD will not bring any future
Reference E102005022102data-portal.finra.org finra.org

Other names1

Also known as1

Joseph Gunnar & Co. LLC

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