EDGETRADE INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENJ 20050000210-01 TO: Market Regulation Department NASD: Edgetrade Inc., Respondent Broker-Dealer CRD No. 42071 Pursuant to Rule 9216 of NASD Code of Procedure, Edgetrade Inc. ("EDGE" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition
Reference 2005000021001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050019130-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: EdgeTrade Inc., Respondent Broker-Dealer CRD Number 42071 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, EdgeTrade Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the condition that, if accepted, FINRA will not bring any future
Reference 2005001913001data-portal.finra.org finra.org

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