Siebert Williams Shank & Co. LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2025: Between August 2021 and August 2023, Siebert violated MSRB Rule G-14 by failing to report the correct time of trade to the MSRB's Real-Time Transaction Reporting System (RTRS) for approximately 12,100 municipal securities transactions and by failing to report to the RTRS approximately 4,700 additional municipal securities transactions. Siebert also violated MSRB Rule G-27 by failing to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to ensure compliance with MSRB Rule G-14. For these violations, Siebert is censured and fined $55,000.
Reference 2022073420401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100227812-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Siebert, Brandford, Shank & Co., L.L.C., Respondent Broker-Dealer CRD No. 42568 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Siebert, Brandford, Shank & Co., L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2010022781201data-portal.finra.orgfinra.org
Other names1
Also known as1
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