BNP Paribas Prime Brokerage Inc.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120318698-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: BNP Paribas Prime Brokerage, Inc., Respondent Broker-Dealer CRD No. 24962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Prime Brokerage, Inc, (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2012031869801finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051105201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Securities Corp., Respondent Member Firm BD No. 15794 BNP Paribas Prime Brokerage, Inc., Respondent Member Firm BD No. 24962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents BNP Paribas Securities Corp, and BNP Paribas Prime Brokerage, Inc. submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016051105201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110287066-01 TO. Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BNP Paribas Prime Brokerage, Inc., Respondent Broker-Dealer CRD No. 24962 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BNP Paribas Prime Brokerage, Inc. ("CYNT" or ''the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011028706601data-portal.finra.org finra.org

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