Conners & Co. Inc.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2026: From April 2022 through December 2023, Conners & Co. charged customers an unfair price in 23 municipal securities transactions, in violation of MSRB Rules G-30 and G-17. In addition, during that period, the firm failed to establish and maintain a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with its fair pricing obligations, in violation of MSRB Rule G-27. For these violations, the firm is censured, fined $20,000, ordered to pay restitution of $21,111.29, plus interest, and has agreed to an undertaking to certify in writing that the firm has remediated the issues identified in this AWC.
Reference 2022076083601finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A20050054 TO: Department of Enforcement NASD RE: Conners & Co., Inc. (CRD No. 1511) Robert L. Conners (CRD No. 52353) Pursuant to Rule 9216 of NASD Code of Procedure, Conners & Co., Inc. and Robert L. Conners (hereinafter referred to as ''Respondents") submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that,
Reference E8A2005005401data-portal.finra.orgfinra.org
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