RODMAN & RENSHAW LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260605 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rodman & Renshaw, LLC ("Rodman" or the "Firm") CRD No. 16415 William A. Iommi (''Iommi") CRD No. 2388657 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Rodman and Iommi submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011026060503data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060047908-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Rodman & Renshaw, LLC, Respondent Broker-Dealer CRD No. 16415 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Rodman & Renshaw, LLC (the "firm") submits this Letter
Reference 2006004790801data-portal.finra.orgfinra.org
Other names2
Also known as2
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