ARCHIPELAGO SECURITIES L.L.C.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296316-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Archipelago Securities L.L.C., Respondent Broker-Dealer CRD No. 102500 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Archipelago Securities L.L.C. ("ACRA" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011029631601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000137-01 TO: Market Regulation Department NASD RE: Archipelago Securities L.L.C., Respondent Broker-Dealer CRD No. 102500 Pursuant to Rule 9216 of NASD Code of Procedure, Archipelago Securities LLC. ("ARRB" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2005000013701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090185347-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Archipelago Securities L.L.C., Respondent Broker-Dealer CRD No. 102500 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Archipelago Securities 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 violations described
Reference 2009018534701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146453-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Archipelago Securities L.L.C., Respondent Broker-Dealer CRD No. 102500 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Archipelago Securities 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 violations described below
Reference 2008014645301data-portal.finra.org finra.org

Other names1

Also known as1

ARCHIPELAGO SECURITIES LLC

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.