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Celadon Financial Group LLC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130388748-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (“FINRA”) RE: Celadon Financial Group LLC, Respondent Broker-Dealer CRD No. 36538 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Celadon Financial Group LLC (the “firm” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule

    Reference 2013038874801finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/31/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074778801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Celadon Financial Group LLC (Respondent) Member Firm CRD No. 36538 Paul M. Waldman (Respondent) General Securities Principal CRD No. 1885767 Pursuant to FINRA Rule 9216, Respondents Celadon Financial Group LLC (Celadon) and Paul M. Waldman submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2022074778801data-portal.finra.orgfinra.org

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