EUROPEAN AMERICAN EQUITIES INC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007286201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: European American Equities, Inc., Respondent (BD No. 45097) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2007007286201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020941102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: European American Equities, Inc. (BD No. 45097), Respondent Member Firm Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, European American Equities, Inc. ("EAE" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2009020941102data-portal.finra.orgfinra.org
Other names1
Also known as1
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