Dominick & Dominick LLC
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041218901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominick & Dominick LLC n/k/a Dominick & Dickerman LLC, Respondent (CRD. No. 7344) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dominick & Dominick LLC, now known as Dominick & Dickerman ("D & D" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2014041218901data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041218901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA') RE: Dominick & Dominick LLC n/k/a Dominick & Dickerman LLC, Respondent (CRD. No. 7344) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dominick & Dominick LLC, now known as Dominick & Dickerman ("D & D" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2014041218901data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/11/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000600601 TO: Department of Market Regulation NASD RE: Dominick & Dominick, LLC, Respondent, Broker-Dealer CRD No. 7344 Pursuant to Rule 9216 of the NASD Code of Procedure, Dominick & Dominick, LLC ("DOMK" 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.
Reference 2005000600601data-portal.finra.orgfinra.org
Other names2
Also known as2
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