CONVERGEX PRIME SERVICES LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110272864-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: ConvergEx Prime Services LLC (formerly known as Northpoint Trading Partners, LLC) Respondent Broker-Dealer CRD No. 140185 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, ConvergEx Prime Services LLC (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2011027286401data-portal.finra.orgfinra.org
Other names1
Previously known as1
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