ALBERT FRIED & COMPANY LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2013038590901 TO: Department Regulation Financial Industry Regulatory Authority ("FINRA") RE Albert Fried & Company, LLC, Respondent Broker-Dealer CRD No. 1914 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Albert Fried & Company, LLC (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 2013038590901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080148602-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Albert Fried & Company, LLC, Respondent Broker-Dealer CRD No. 1914 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Albert Fried & Company, LLC (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 2008014860201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070083390-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Albert Fried & Company, LLC, Respondent Broker-Dealer CRD No. 1914 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Albert Fried & Company, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2007008339001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080152394-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Albert Fried & Company, LLC, Respondent Broker-Dealer CRD No. 1914 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Albert Fried & Company, LLC (the ''firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the
Reference 2008015239401finra.org data-portal.finra.org

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