FIRST REPUBLIC GROUP LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020040161-01 TO: Department of Enforcement NASD RE: First Republic Group, LLC, Respondent Member Firm BD No. 39781 Pursuant to Rule 9216 of NASD Code of Procedure, First Republic Group, LLC ("First Republic" 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 in Part II below. This AWC is
Reference E102004016101finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060037178-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: First Republic Group, LLC, Respondent Member Firm BD No. 39781 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, First Republic Group, LLC ("First Republic" 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
Reference 2006003717801data-portal.finra.orgfinra.org
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