Crowell, Weedon & Co.

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080128211-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Crowell, Weedon & Co., Respondent Broker-Dealer CRD No. 193 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Crowell, Weedon & Co. (the "firm") 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
Reference 2008012821101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094576/20070094605 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Crowell, Weedon & Co., Respondent (CRD No. 193) Pursuant to Rule 9216 of FINRA Code of Procedure, Crowell, Weedon & Co. ("Firm" or ''Crowell, Weedon") submits 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
Reference 2007009460502data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080158589-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Crowell, Weedon & Co., Respondent Broker-Dealer CRD No. 193 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Crowell, Weedon & Co. ("CWCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008015858901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070106776-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Crowell, Weedon & Co., Respondent Broker-Dealer CRD No. 193 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Crowell, Weedon & Co. ("CWCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent
Reference 2007010677601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094576/20070094605 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Crowell, Weedon & Co., Respondent (CRD No. 193) Pursuant to Rule 9216 of FINRA Code of Procedure, Crowell, Weedon & Co. (''Firm" or "Crowell, Weedon") submits 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
Reference 2007009457601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060021855-01 TO: Department of Market Regulation NASD RE: Crowell, Weedon & Co., Respondent Broker-Dealer No. 193 Pursuant to Rule 9216 of the NASD Code of Procedure, Crowell, Weedon & Co. ('the firm") submits 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
Reference 2005002185501data-portal.finra.org finra.org

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