Agency Trading Group Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070707977-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Agency Trading Group, Inc. Broker-Dealer CRD No. 108887 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Agency Trading Group, Inc. (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. This AWC is
Reference 2007010797701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070082861-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Agency Trading Group, Inc., Respondent Broker-Dealer CRD No. 108887 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Agency Trading Group, Inc. (the "firm" or "ATGP") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2007008286101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035275702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Agency Trading Group, Inc., Respondent Member Firm CRD No. 108887 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Agency Trading Group, Inc. ("Agency Trading" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2013035275702data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080142573-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Agency Trading Group, Inc., Respondent Broker-Dealer CRD No. 108887 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Agency Trading Group, Inc. (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 2008014257301data-portal.finra.org finra.org

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