CFD Investments Inc.

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057457101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: CFD Investments, Inc. Member Firm CRD No. 25427 Matthew Bahrenburg General Securities Principal CRD No. 5295661 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondents CFD Investments, Inc. and Matthew Bahrenburg submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing
Reference 2018057457101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048224201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CFD Investments, Inc., Respondent Member Firm CRD No. 25427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent CFD Investments, Inc. ("CFD" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2016048224201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039216501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CFD Investments, Inc. Firm CRD Number: 25427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, CFD Investments, Inc. ("CFD" or the "Firm" or "Respondent") 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 2014039216501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030685201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CFD Investments, Inc., Respondent CRD No. 25427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2012030685201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHOR1TY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019590503 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: cfd Investments, Inc. Respondent CRD No. 25427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, cfd Investments, Inc. ("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 submitted on the
Reference 2009019590503data-portal.finra.org finra.org

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.