BLOOMBERG TRADEBOOK LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120348698-01 To: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bloomberg Tradebook LLC, Respondent Broker-Dealer CRD No. 40881 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Bloomberg Tradebook LLC ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2012034869801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120334355-01 TO: Departinent of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Bloomberg Tradebook LLC, Respondent Broker-Dealer CRD No. 40881 Pursuant to FINRA Rule 9216 of FlNRA's Code of Procedure, Bloomberg Tradebook LLC (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 2012033435501data-portal.finra.org finra.org

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