CAMBRIDGE LEGACY SECURITIES L.L.C.
Regulator actionUnited States. Named in 5 sanctions listings.
Sanctions and listings5
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020844301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cambridge Legacy Securities LLC, Respondent CRD No. 103722 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cambridge Legacy Securities LLC ("Respondent" or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2010020844301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020319001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cambridge Legacy Securities, L.L.C., Respondent CRD No. 103722 Tommy Edward Fincher, Respondent Chief Compliance Officer and Registered Principal CRD No. 1725266 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Cambridge Legacy
Reference 2009020319001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005004001 TO: Department of Enforcement NASD RE: Cambridge Legacy Securities, LLC CRD No. 103722 O. Ben Carroll General Securities Principal CRD No. 1295071 Pursuant to Rule 9216 of NASD Code of Procedure, Cambridge Legacy Securities, LLC and O. Ben Carroll ("Cambridge" and "Carroll," individually or "Respondents," collectively) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference E062005004001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070089263-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cambridge Legacy Securities L.L.C., Respondent Broker-Dealer CRD No. 103722 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Cambridge Legacy Securities L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2007008926301finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010684401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cambridge Legacy Securities, LLC, Respondent CRD No.103722 O. Ben Carroll, Respondent President and Registered Principal CRD No.1295071 Russell Childs, Respondent General Securities Representative CRD No. 1192883 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Cambridge Legacy Securities, LLC, O. Ben
Reference 2007010684401data-portal.finra.orgfinra.org
Other names1
Also known as1
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