EQUITY TRADING ONLINE LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO C10050057 TO: Department of Enforcement NASD RE: Equity Trading Online, LLC (BD No. 104038) and (CRD No. Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Equity Trading Online, LLC (hereinafter "ETO") and ^^^^^^^ ^ (hereinafter ^^^ submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference C10050057finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050083 TO: Department of Market Regulation NASD RE: Equity Trading Online, LLC, Respondent Broker-Dealer CRD No. 104038 Pursuant to Rule 9216 of the NASD Code of Procedure, Equity Trading Online, LLC ("EQTY" 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 that, if accepted, NASD will not bring
Reference CLG050083data-portal.finra.orgfinra.org
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