Concorde Investment Services LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/27/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021070487501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Concorde Investment Services, LLC (Respondent) Member Firm CRD No. 151604 Pursuant to FINRA Rule 9216, Respondent Concorde Investment 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. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070487501finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/04/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060897201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Concorde Investment Services, LLC (Respondent) Member Firm CRD No. 151604 Pursuant to FINRA Rule 9216, Respondent Concorde Investment 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. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2018060897201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060577602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Concorde Investment Services, LLC, Respondent Member Firm CRD No. 151604 Kimberlee Elizabeth Levy, Respondent General Securities Principal, Compliance Officer, Investment Banking Principal, General Securities Representative, Investment Banking Representative, Investment Company Products/Variable Contracts Principal, Investment Company and Variable Contracts Products Representative, Registered Options Principal, Operations Professional CRD No. 4065593
Reference 2018060577602data-portal.finra.org finra.org

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