Feltl & Company

Regulator action

United States. Named in 8 sanctions listings.

Sanctions and listings8

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022962401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company ("Feltl" 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 is submitted on the
Reference 2010022962401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20120307854101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Feltl & Company, Respondent CRD No, 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company ("Feltl") 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
Reference 2012030785401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/07/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130395082-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent Broker-Dealer CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company (''FLTL" 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.
Reference 2013039508201finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E042005004202 To: Department of Enforcement NASD Re: Feltl & Company Member (CRD No. 6905) Pursuant to NASD Procedural Rule 9216, Feltl & Company ("Feltl"), 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
Reference E042005004202finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100225677-01 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent Broker-Dealer CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company ("FLTL" 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.
Reference 2010022567701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024882202 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company ("Feltl" 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 is submitted on
Reference 2010024882202data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080152315-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent Broker-Dealer CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company (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
Reference 2008015231501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2013036524902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Feltl & Company, Respondent CRD No. 6905 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Feltl & Company ("Feltl") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2013036524902data-portal.finra.org finra.org

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