SCHONFELD SECURITIES L.L.C.
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/11/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20041000231-01 TO: Market Regulation Department NASD RE: Schonfeld Securities, LLC, Respondent CRD No. 23304 Pursuant to Rule 9216 of the NASD Code of Procedure, Schonfeld Securities, LLC ("SHON" 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
Reference 2004100023101finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000107-01 TO: Market Regulation Department NASD RE: Schonfeld Securities, L.L.C., Respondent CRD No. 23304 Pursuant to Rule 9216 of NASD Code of Procedure, Schonfeld Securities, L.L.C. ("SHON" or "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
Reference 2005000010701finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200012001 TO: Market Regulation Department NASD RE: Schonfeld Securities, LLC, Respondent Broker-Dealer CRD No. 23304 Pursuant to Rule 9216 of NASD Code of Procedure, Schonfeld Securities, LLC ("SHON" 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
Reference 2004200012001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO; 20050006865-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Schonfeld Securities, LLC, Respondent Broker-Dealer CRD No. 23304 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Schonfeld Securities, LLC (the "firm" or "SHON") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2005000686501data-portal.finra.orgfinra.org
Other names1
Also known as1
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