OSCAR GRUSS & SON INCORPORATED
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000193-01 TO: Market Regulation Department NASD RE: Oscar Gruss & Son, Inc., Respondent CRD No. 2091 Pursuant to Rule 9216 of NASD Code of Procedure, Oscar Gruss & Son, Inc. ("OGRU" 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 not bring any future
Reference 2004200019301finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070079590-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Oscar Gruss & Son, Incorporated, Respondent Broker-Dealer CRD No. 2091 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oscar Gruss & Son, 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 2007007959002data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.## 20050006513 TO: Market Regulation Department NASD RE: Oscar Gruss & Son, Inc., Respondent CRD No. 2091 Pursuant to Rule 9216 of NASD Code of Procedure, Oscar Gruss & Son, Inc. ("OGRU" 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 not bring any future actions
Reference 2005000651301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20060040590-01 TO: Market Regulation Department NASD RE: Oscar Gruss & Son, Inc., Respondent CRD No. 2091 Pursuant to Rule 9216 of NASD Code of Procedure, Oscar Gruss & Son, Inc. (''OGRU" 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
Reference 2006004059001data-portal.finra.orgfinra.org
Other names1
Also known as1
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