BNP PARIBAS INVESTMENT SERVICES LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/12/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DISTRICT FL NO. E0720050076 TO: Department of Enforcement NASD RE: BNP Paribas Investment Services, LLC, Respondent Broker-Dealer [CRD No. 44598] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents submit 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 the condition that, if accepted, NASD will not bring any future
Reference E072005007601data-portal.finra.orgfinra.org
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