ALERUS SECURITIES CORPORATION

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070111003-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Alerus Securities Corporation, Respondent Broker-Dealer CRD No. 35947 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alerus Securities Corporation ("FNBS" 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 2007011100301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTERY OF ACCEPTANCE, WIAVER AND CONSENT NO. 20070071174 To: Department of Enforcement FINRA Re: Alerus Securities Corporation Member CRD No. 35947 Pursuant to NASD Rule 9216 of FINRA's Code 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
Reference 2007007117401data-portal.finra.org finra.org

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