ACP Securities LLC

02/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150463333-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ACP Securities, LLC, Respondent Broker-Dealer CRD No. 139049 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ACP 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 described

Reference 2015046333301data-portal.finra.orgfinra.org

11/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077080601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACP Securities, LLC (Respondent) Member Firm CRD No. 139049 Pursuant to FINRA Rule 9216, Respondent ACP 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. This AWC is submitted on the condition that if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2023077080601data-portal.finra.orgfinra.org

03/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016047563501 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: ACP Securities, LLC, Respondent Member Firm BD No. 139049 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, ACP Securities, LLC (“ACPS” 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 2016047563501data-portal.finra.orgfinra.org