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CREDIT AGRICOLE CHEUVREUX NORTH AMERICA INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100247148-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Cheuvreux North America, Inc., Respondent Broker-Dealer CRD No. 8010 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure Credit Agricole Cheuvreux North America, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2010024714801data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100253079-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Cheuvreux North America, Inc., Respondent Broker-Dealer CRD No. 8010 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Agricole Cheuvreux North America, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2010025307901finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090210827-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Cheuvreux North America, Inc., Respondent Broker-Dealer CRD No. 8010 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Agricole Cheuvreux North America, Inc. ("CRAG" or the "firm") submits this Letter of Acceptance, Waiver and Consent

    Reference 2009021082702finra.orgdata-portal.finra.org

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