Flow Traders U.S. LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064856101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Flow Traders U.S. LLC (Respondent) Member Firm CRD No. 150780 Pursuant to FINRA Rule 9216, Respondent Flow Traders U.S. LLC 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2019064856101finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442315-02 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Flow Traders U.S. LLC, Respondent Broker-Dealer CRD No. 150780 Pursuant to FINRA 9216 of FINRA's Code of Procedure, Flow Traders U.S. LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2015044231502data-portal.finra.orgfinra.org
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