CLEARVIEW CORRESPONDENT SERVICES LLC
Regulator actionUnited States. Named in 12 sanctions listings.
Sanctions and listings12
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20110275374- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Clearview Correspondent Services, LLC (n/k/a BB&T Securities, LLC), Respondent Broker-Dealer CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clearview Correspondent Services, LLC ("Respondent" or the "Firm") submits this Letter of Acceptance, Waiver and Consent
Reference 2011027537401finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110288771-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scott & Stringfellow, LLC (n/k/a BB&T Securities, LLC), Respondent Broker-Dealer CRD No. 6255 (now CRD No. 142785) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scott & Stringfellow, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2011028877101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057742501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: BB&T Securities, LLC, Respondent Member Firm CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent BB&T Securities, LLC (“BB&T” 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 below.
Reference 2018057742501finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/25/2013: FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20110261574-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Scott & Stringfellow, LLC, Respondent Broker-Dealer CRD No. 6255 Pursuant to F!NRA Rule 9216 of FINRA's Code of Procedure, Scott & Stringfellow, LLC (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 2011026157401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090195365 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Scott & Stringfellow, LLC ("Scott & Stringfellow," "Respondent" or "the Firm"), CRD No. 6255 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scott & Stringfellow submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below
Reference 2009019536501data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100235175 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clearview Correspondent Services, LLC ("Clearview" or the "Firm"), Respondent CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2010023517501data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033723601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BB&T Securities, LLC. (BD No. 142785), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BB&T Securities, LLC ("BB&T” or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2012033723601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130366974-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BB&T Securities, LLC, Respondent Broker-Dealer 142785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BB&T Securities, LLC (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
Reference 2013036697401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036202701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: BB&T Securities, LLC (BD No. 142785), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BB&T Securities, LLC ("BB&T" or 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. This AWC
Reference 2013036202701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011754301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott & Stringfellow, LLC, Respondent Member Firm CRD No. 6255 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Scott & Stringfellow, Inc. 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
Reference 2008011754301finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080123557-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Scott & Stringfellow, LLC, Respondent Broker Dealer CRD No. 6255 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Scott & Stringfellow, 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
Reference 2008012355701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046355101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BB&T Securities, LLC, Respondent CRD No. 142785 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BB&T Securities, LLC ("BB&T Securities," 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
Reference 2015046355101data-portal.finra.orgfinra.org
Other names5
Also known as4
Weak aliases1
Spellings the source flags as too generic to establish a match on their own.
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