BANC OF AMERICA SPECIALIST INC.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090206175-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Banc of America Specialist, Inc., Respondent Broker-Dealer CRD No. 103971 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Banc of America Specialist, Inc., ("BASP" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2009020617501data-portal.finra.orgfinra.org
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