First Manhattan Co.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047927501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Manhattan Co., Respondent Member Firm CRD No. 1845 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent First Manhattan Co. 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 2015047927501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066627201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: First Manhattan Co. (Respondent) Member Firm CRD No. 1845 Pursuant to FINRA Rule 9216, Respondent First Manhattan Co. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066627201data-portal.finra.org finra.org

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