Clearpool Execution Services LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150443976-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Clearpool Execution Services, LLC, Respondent Broker-Dealer CRD No. 168490 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clearpool Execution Services, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2015044397601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048613101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Clearpool Execution Services, LLC (Respondent) Member Firm CRD No. 168490 Pursuant to FINRA Rule 9216, Respondent Clearpool Execution Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016048613101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042373804 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Clearpool Execution Services, LLC, Respondent Broker-Dealer CRD No. 168490 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Clearpool Execution Services, LLC ("Clearpool," the "firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2014042373804finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160500549-01 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Clearpool Execution Services, LLC, Respondent Broker-Dealer CRD No. 168490 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Clearpool Execution Services, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2016050054901data-portal.finra.org finra.org

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