Boustead Securities LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/16/2026: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2022075185901 Department of Enforcement, Complainant, v. Boustead Securities, LLC CRD No. 141391, Sutter Securities, Incorporated CRD No. 30770, and Keith Charles Moore CRD No. 5191450 Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2021 through December 2023 (the Relevant Period), Respondents Boustead Securities, LLC (Boustead) and Sutter Securities Incorporated (Sutter) violated anti-money laundering (AML), supervisory, recordkeeping, and other SEC or FINRA rules in connection with their jointly conducted investment banking businesses...
Reference 2022075185901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060735601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Boustead Securities, LLC (Respondent) Member Firm CRD No. 141391 Pursuant to FINRA Rule 9216, Respondent Boustead Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2019060735601data-portal.finra.org finra.org

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