DIRECT ACCESS PARTNERS LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 20060044736-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Access Partners LLC, Respondent Broker-Dealer CRD No. 120950 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Direct Access Partners LLC (the "firm" or "DAPL") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2006004473601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080125412-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Direct Access Partners LLC, Respondent Broker-Dealer CRD No. 120950 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Direct Access Partners 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. This
Reference 2008012541201data-portal.finra.org finra.org

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