Alternative Execution Group

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/09/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056458301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alternative Execution Group (Respondent) Member Firm CRD No. 167830 Richard Alter (Respondent) General Securities Principal CRD No. 2697740 Pursuant to FINRA Rule 9216, Respondents Alternative Execution Group and Richard Alter submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018056458301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140409322-ni. TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Alternative Execution Group, Respondent Broker-Dealer CRD No. 167830 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Alternative Execution Group (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014040932301data-portal.finra.org finra.org

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