EVOLUTION FINANCIAL TECHNOLOGIES LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. **** 20050000069-01 TO: Department of Market Regulation Financial Industry Regulatory Authority FINRA") RE: Evolution Financial Technologies, LLC, Respondent Broker-Dealer CRD No. 104249 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Respondent, Evolution Financial Technologies, LLC
Reference 2005000006901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2005000022901 TO: Department of Market Regulation NASD RE: Evolution Financial Technologies, LLC, Respondent Broker-Dealer CRD No. 104249 Pursuant to Rule 9216 of NASD Code of Procedure, Evolution Financial Technologies, LLC ("GESE*) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2005000022901data-portal.finra.org finra.org

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