FIRSTRADE SECURITIES INC
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE NO. 20080136181-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA"), RE: Firstrade Securities Inc., Respondent Broker-Dealer CRD No. 1643 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Firstrade Securities Inc. (the “firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged
Reference 2008013618101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021211901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Firstrade Securities, Inc., Respondent CRD No. 16843 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Firstrade Securities, Inc. ("Respondent" or "Firstrade") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2010021211901finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016640101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Firstrade Securities, Inc., Respondent CRD No. 16843 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Firstrade Securities, Inc. ("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
Reference 2009016640101data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2025: From July to September 2022, Firstrade Securities distributed retail communications concerning crypto assets or crypto asset-related services which failed to clearly disclose that crypto assets were not offered through a registered broker-dealer, or which did not provide a fair and balanced presentation of the benefits and risks of the products discussed. Therefore, Firstrade Securities violated FINRA Rules 2210( d) and 2010 and is censured and fined $85,000...
Reference 2022076785901data-portal.finra.orgfinra.org
Other names1
Also known as1
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