CHEEVERS & COMPANY INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090167075-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cheevers & Company Inc., Respondent Broker-Dealer CRD No. 31312 pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cheevers & Company Inc., (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2009016707501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260552-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Cheevers & Company Inc., Respondent Broker-Dealer CRD No. 31312 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Cheevers & Company 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
Reference 2011026055201data-portal.finra.org finra.org

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