FIXED INCOME SECURITIES LP

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 20050001658-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Fixed Income Securities, LP, Respondent Broker-Dealer CRD No. 46727 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, Fixed Income Securities, LP (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
Reference 2005000165801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A20040016-01 TO: Department of Enforcement NASD RE: Fixed Income Securities, LP, Respondent CRD No.46727 Pursuant to Rule 9216 of NASD Code of Procedure, Fixed Income Securities, LP ("Respondent" 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 If below. This AWC Is submitted on the condition that, if accepted, NASD will not bring any
Reference E3A2004001601data-portal.finra.org finra.org

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