Bear, Stearns & Co,. Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060067539-01 Financial Industry Regulatory Authority ("FINRA'') RE: Bear, Stearns & Co., Inc., Respondent Broker-Dealer CRD No. 79 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Bear, Stearns & Co., Inc. (the "firm'') submits this Letter
Reference 2006006753901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20042000210-01 TO: Department of Market Regulation NASD RE: Bear, Stearns & Co., Inc. Broker-Dealer CRD No. 79 Pursuant to Rule 9216 of NASD Code of Procedure, Bear, Stearns & Co., Inc., ("BEST" or "the firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on
Reference 2004200021001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2004100012101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bear, Stearns & Co., Inc., Respondent Broker-Dealer CRD No. 79 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Bear, Stearns & Co., Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2004100012101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102004005001 TO: Department of Enforcement NASD RE: Bear, Stearns & Co., Inc., Respondent BD No. 79 Pursuant to Rule 9216 of NASD Code of Procedure, Bear, Stearns & Co., Inc., ("Bear Stearns" or "Respondent'*) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference E102004005001data-portal.finra.org finra.org

Other names1

Also known as1

Bear, Stearns & Co. Inc.

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