WILLIAM BLAIR & COMPANY LLC

Regulator action

United States. Named in 9 sanctions listings.

Sanctions and listings9

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20140428276-01 TO Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE William Blair & Company L.L C., Respondent Broker-Dealer CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Company L.L.C (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014042827601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038534401 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: William Blair & Company LLC CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Coinpany LLC ("William Blair," "Respondent" 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
Reference 2013038534401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/16/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## 20050001403-01 TO: Department of Market Regulation NASD RE: William Blair & Company L.C.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to Rule 9216 of NASD Code of Procedure. William Blair & Company L.C.C. (the "firm" or "WBLR") 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.
Reference 2005000140301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160509630-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Blair & Company L.L.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Company L.L.C. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2016050963001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150455537-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: William Blair & Company L.L.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Company L.L.C. (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 2015045553701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006385701 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: William Blair & Company L.L.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Company L.L.C. (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 2006006385701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050032430-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: William Blair & Company L.L.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to Rule 9216 of the FINRA Code of Procedure, William Blair & Company L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2005003243001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170167-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: William Blair & Company L.L.C., Respondent Broker-Dealer CRD No. 1252 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William Blair & Company L.L.C. (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 2009017016702finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050050 TO: Market Regulation Department NASD RE: William Blair & Company, L.L.C. CRD No. 1252 Pursuant to Rule 9216 of NASD Code of Procedure, William Blair & Company, LL.C. ("WBLR" or the "firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose
Reference CLG050050data-portal.finra.org finra.org

Other names1

Also known as1

William Blair & Company L.L.C.

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