brokersXpress LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120330812-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: brokersXpress LLC, Respondent Broker-Dealer CRD No. 127081 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, brokersXpress 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 2012033081201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOS. 20060050978 and 20060038656 TO: Department of Enforcement NASD RE: brokersXpress, LLC Broker-Dealer CRD No. 127081 Pursuant to Rule 9216 of NASD Code of Procedure, brokersXpress, LLC [or Respondent] 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 the condition that, if accepted, NASD will not bring any future actions
Reference 2006003865601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021317901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: brokersXpress LLC, Respondent (CRD No. 127081) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, brokersXpress LLC ("brokersXpress" 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 below. This AWC is
Reference 2010021317901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/31/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060039467-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BrokersXpress LLC, Respondent Broker-Dealer CRD No. 127081 Pursuant to NASD Rule 9216 of FINRA Code of Proccdure, BrokersXpress 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 in Part I below.
Reference 2006003946701data-portal.finra.org finra.org

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