Center Street Securities Inc.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030379801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Center Street Securities, Inc., Respondent [CRD No. 26898] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Center Street Securities, Inc. (hereinafter, "Center Street," "Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2012030379801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061213301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Center Street Securities, Inc. (Respondent) Member Firm CRD No. 26898 Pursuant to FINRA Rule 9216, Respondent Center Street Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019061213301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/12/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034936004 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Center Street Securities, Inc., Respondent CRD No. 26898 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Center Street Securities, Inc. ("Center Street") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2012034936004data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/24/2015: FINANCIAL INDUSTRY REGUIATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039415901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Center Street Securities, Inc., Respondent Member Firm [CRD No. 26898] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Center Street Securities, Inc. ("Center Street'' or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014039415901data-portal.finra.org finra.org

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