Dahlman Rose and Company LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100219767-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dahlman Rose & Company, LLC, Respondent Broker-Dealer CRD # 23510 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dahlman Rose & Company, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2010021976701data-portal.finra.orgfinra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.