ARGENTUS SECURITIES LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025621801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Argentus Securities, LLC, Respondent (f/k/a Summit Alliance Securities, LLC and SIG Securities, Inc.) Member Firm CRD No. 45915 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011025621801finra.orgdata-portal.finra.org
Other names2
Also known as2
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