Automated Trading Desk Financial Services LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292806-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Automated Trading Desk Financial Services, LLC, Respondent Broker-Dealer CRD No. 103768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Automated Trading Desk Financial Services, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2011029280601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110283029-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Automated Trading Desk Financial Services, LLC, Respondent Broker-Dealer CRD No. 103768 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Automated Trading Desk Financial Services, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2011028302901data-portal.finra.org finra.org

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