CALYON SECURITIES (USA) INC
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070089171-01 TO; Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Calyon Securities (USA) Inc., Respondent Broker-Dealer CRD No. 190 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Calyon Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent
Reference 2007008917101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060048570-01 TO; Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Calyon Securities (USA) Inc, Respondent Broker-Dealer CRD No. 190 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Calyon Securities (USA) Inc (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2006004857001finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050013 TO: Department of Market Regulation NASD RE: Calyon Securities (USA) Inc., Respondent Broker-Dealer CRD No. 190 Pursuant to Rule 9216 of NASD Code of Procedure, Calyon Securities (USA) Inc. ("LYON") 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
Reference CLG050013data-portal.finra.orgfinra.org
Other names2
Also known as2
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.