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Potamus Trading LLC

Regulator action

United States. Named in 4 sanctions listings.

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Sanctions and listings4

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140416329-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Potamus Trading, LLC ("HPPO" or the "Firm"), Respondent Broker-Dealer CRD No. 142867 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Potamus Trading, LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2014041632901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/16/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150469209-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Potamus Trading, LLC, Respondent Broker-Dealer CRD No. 142867 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Potamus Trading, LLC (“Potamus” or the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015046920901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442342-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Potamus Trading, LLC, Respondent Broker-Dealer CRD No. 142867 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Potamus Trading, LLC (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015044234201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140411549-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Potamus Trading, LLC, Respondent Broker-Dealer CRD No. 142867 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Potamus Trading, LLC (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 2014041154901finra.orgdata-portal.finra.org

Other names2

Also known as2

Potamus Trading LLC HPPOPotamus Trading LLC the Firm

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