DRESDNER KLEINWORT SECURITIES LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/02/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013992601 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Dresdner Kleinwort Securities LLC, Respondent CRD No. 41957 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dresdner Kleinwort Securities LLC ("Dresdner" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2008013992601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE. WAIVER AND CONSENT NO. 20050025649-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Dresdner Kleinwort Securities LLC, Respondent Broker-Dealer CRD Number 41957 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Dresdner Kleinwort Securities LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2005002564901data-portal.finra.org finra.org

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