BAKER WATTS INC.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050032234-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ferris, Baker Watts Incorporated, Respondent Broker/Dealer CRD No. 285 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Ferris, Baker Watts Incorporated ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2005003223401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050004861-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ferris, Baker Watts, Incorporated, Respondent Broker-Dealer CRD Number 285 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Ferris, Baker Watts, Incorporated (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2005000486101finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000122-01 TO: Market Regulation Department NASD RE: Ferris, Baker Watts Incorporated, Respondent Broker Dealer CRD Number 285 Pursuant to Rule 9216 of NASD Code of Procedure, Ferris, Baker Watts Incorporated ("FBWA" or "the firm") 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
Reference 2004200012201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070091803 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ferris, Baker Watts Inc., N/K/A RBC Capital Markets, Respondent CRD No. 285 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2007009180301data-portal.finra.org finra.org

Other names1

Also known as1

BAKER WATTS INCORPORATED

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