Dealerweb Inc.

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2016048614701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dealerweb Inc., Respondent Member Firm CRD No. 19662 Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. (Dealerweb) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2016048614701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057239701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dealerweb Inc. (Respondent) Member Firm CRD No. 19662 Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057239701finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035376301 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Dealerweb, Inc. (BD No. 19662) Broker-Dealer Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dealerweb, Inc. ("Dealerweb" 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. This AWC
Reference 2013035376301finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140400282-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dealerweb Inc., Respondent Broker-Dealer CRD No. 19662 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dealerweb Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2014040028201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067548401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dealerweb Inc. (Respondent) Member Firm CRD No. 19662 Pursuant to FINRA Rule 9216, Respondent Dealerweb Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020067548401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160507843-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dealerweb Inc., Respondent Broker-Dealer CRD No. 19662 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dealerweb, Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2016050784301data-portal.finra.org finra.org

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