EBH Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043646601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EBH Securities Inc., Respondent ("EBH" or the "Firm") CRD No. 36592 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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 is submitted on the condition
Reference 2015043646601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052414401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: EBH Securities, Inc., Respondent ("EBH" or the "Firm") CRD No. 36592 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2017052414401data-portal.finra.org finra.org

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