NATIXIS BLEICHROEDER LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2012: F?NANC1AL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110255806-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Natixis Securities America, LLC (f/k/a Natixis Bleichroeder, LLC) (CRD No. 1101), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Natixis Securities America LLC (f/k/a Natixis Bleichroeder, LLC) ("Natixis" or the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2011025580601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060043626-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Natixfs Bleichroetter LLC, Respondent Broker-Dealer CRD No. 1101 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Natixis Bleichroeder LLC ("ABLE", 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 2006004362601data-portal.finra.orgfinra.org
Other names2
Also known as2
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