AUFHAUSER SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080148695-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Aufhauser Securities, Inc., Respondent Broker-Dealer CRD No. 39673 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Aufhanser Securities, 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.
Reference 2008014869501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2030372834-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Aufhauser Securities, Inc., Respondent Broker-Dealer CRD No. 39673 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Aufhauser Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2013037283401data-portal.finra.org finra.org

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