CREDIT AGRICOLE SECURITIES INC.
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100246897-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Securities (USA) Inc., Respondent Broker-Dealer CRD No. 190 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Agricole Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose
Reference 2010024689701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110283410-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Securities (USA) Inc., Respondent Broker-Dealer CRD No. 190 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Agricole Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011028341001finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2030377844- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Credit Agricole Securities (USA) Inc., Respondent Broker-Dealer CRD No. 190 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Credit Agricole Securities (USA) Inc., (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2013037784401data-portal.finra.orgfinra.org
Other names1
Also known as1
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