EBX LLC

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. eBX LLC (CRD No. 138138), Respondent. Disciplinary Proceeding No. 20100215720-01 Hearing Officer-MC HEARING PANEL DECISION October 22, 2015 Respondent eBX LLC inaccurately denoted itself as "principal" instead of "agent'' when it reported transactions to FINRA, in violation of FINRA Rules 7230A(d)(7) and 2010. For these violations, eBX is censured and fined $125,000. In addition, eBX failed
10/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. eBX LLC (CRD No. 138138), Respondent. Disciplinary Proceeding No. 20100215720-01 COMPLAINT The Department of Market Regulation (the "Market Regulation") alleges: Summary 1. From on or about November 2, 2009 to on or about March 18, 2013 (the "Relevant Period"), Respondent eBX LLC ("EBXL") failed to properly report to FINRA approximately 15,339,190 transactions it matched on behalf of its
Reference 2010021572001data-portal.finra.org data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/20/2010: FINANCIAL AUTHORITY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170065-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EBX LLC, Respondent Broker-Dealer CRD No. 138138 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, EBX 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 2009017006501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE NO. 20100215637-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EBX LLC, Respondent Broker-Dealer CRD No. 138138 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, EBX 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 AWC is submitted on the condition that, if accepted
Reference 2010021563701data-portal.finra.org finra.org

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