CITY NATIONAL SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: City National Securities, Inc., Respondent Member Firm BD No. 103705 Pursuant to NASD 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 2008014620101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2017: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043089901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: City National Securities, Inc., Respondent CRD No. 103705 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent City National Securities, Inc. ("CNS") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014043089901data-portal.finra.org finra.org

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