COMMERZ MARKETS LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110277597-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ('FINRA") RE: Commerz Markets LLC, Respondent Broker-Dealer CRD No. 41957 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commerz Markets LLC ("DRKW" or 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
Reference 2011027759701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 20150463334-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Commerz Markets LLC, Respondent Broker-Dealer CRD No. 41957 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Commerz Markets LLC, (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
Reference 2015046333401data-portal.finra.orgfinra.org
Other names1
Also known as1
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