Two Sigma Securities LLC
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/12/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050929001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC, Respondent Broker-Dealer CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Two Sigma Securities, LLC ("Two Sigma Securities" 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 2016050929001finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130365847-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC, Respondent Broker-Dealer CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Two Sigma Securities, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013036584701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20180596150-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC ("Two Sigma" or the "Firm"), Respondent Member Firm: CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Two Sigma Securities, LLC submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059615001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130391658-04 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Two Sigma Securities, LLC, Respondent Broker-Dealer CRD No. 148960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Two Sigma Securities, 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 2013039165804finra.orgdata-portal.finra.org
Other names2
Also known as2
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.