ESSEX RADEZ LLC

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044333201 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Essex Radez LLC Member Firm CRD No. 34649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Radez LLC ("Essex Radez" 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 below. This AWC
Reference 2015044333201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100221042-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Essex Radez LLC, Respondent Broker-Dealer CRD No. 34649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Radez 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
Reference 2010022104201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130375865-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Essex Radez LLC, Respondent Broker-Dealer CRD No. 34649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Essex Radez LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2013037586501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORrrY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110303916-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Essex Radez LLC, Respondent Broker-Dealer CRD No. 34649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Radez LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2011030391601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100243598-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Essex Radez LLC, Respondent Broker-Dealer CRD No. 34649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Essex Radez 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
Reference 2010024359801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200027101 TO: Department of Market Regulation NASD Essex Radez LLC, Respondent Broker-Dealer CRD No. 34649 Pursuant to rule 9216 of NASD Code of Procedure, Essex Radez LLC ("ERCO" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2004200027101finra.org data-portal.finra.org

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