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DELANEY EQUITY GROUP LLC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/16/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DELANEY EQUITY GROUP, LLC, (BD No. 142285) and DAVID C. DELANEY (CRD No. 2447186) Respondents. Disciplinary Proceeding No. 2010021108301 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2010021108301 was filed on December 6, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondents

    12/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DELANEY EQUITY GROUP, LLC, (BD No. 142285) and DAVID C. DELANEY (CRD No. 2447186) Respondents. Disciplinary Proceeding No. 2010021108301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from December 2008 through July 2010, Delaney Equity Group, LLC (DEG), acting through David Delaney (Delaney), its President, Chief Compliance Officer (CCO)

    Reference 2010021108301data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130395529 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Delaney Equity Group LLC, Respondent Broker-Dealer CRD No. 142285 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Delaney Equity Group 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 below.

    Reference 2013039552901data-portal.finra.orgfinra.org

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