ACS Execution Services LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018057929601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACS Execution Services, LLC (Respondent) Member Film CRD No. 17972 Pursuant to FINRA Rule 9216, Respondent ACS Execution Services, 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 2018057929601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057548201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: ACS Execution Services, LLC, Respondent Member Firm CRD No. 17972 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent ACS Execution Services, LLC ("Respondent" 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 2018057548201data-portal.finra.org finra.org

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