POPULAR SECURITIES INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035309401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Popular Securities, Inc. (n/k/a Popular Securities, LLC) ("Popular"), Respondent Member Firm BD No. 8096 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
Reference 2013035309401data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050038 To: Department of Enforcement NASD RE: Popular Securities, Inc., Respondent [CRD NO: 8096] Pursuant to Rule 9216 of the NASD Code of Procedure, Popular Securities, Inc., submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below.
Reference C07050038data-portal.finra.orgfinra.org
Other names1
Also known as1
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