eRoom Securities L.L.C.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 20110296973-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: eRoom Securities L.L.C., Respondent Broker-Dealer CRD No. 41257 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, eRoom Securities L.L.C. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2011029697301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013159601 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Eroom Securities L.L.C., Respondent Broker-Dealer CRD No. 41257 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Eroom Securities L.L.C. (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
Reference 2008013159601data-portal.finra.org finra.org

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