CODA Markets Inc.
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048498401 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: CODA Markets, Inc., Respondent Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, CODA Markets, Inc. (the “firm”) 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 2016048498401finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049105201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CODA Markets, Inc., Respondent Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CODA Markets, Inc. (the "Firm" or "CODA") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016049105201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2015044078201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CODA Markets, Inc. (f/k/a PDQ ATS, Inc.) (Respondent) Member Firm CRD No. 36187 Pursuant to FINRA Rule 9216, Respondent Coda Markets, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015044078201finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130365982-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: PDQ ATS, Inc., Respondent Broker-Dealer CRD No. 36187 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, PDQ ATS, Inc. (the ''firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2013036598201finra.orgdata-portal.finra.org
Other names2
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