FROST BROKERAGE SERVICES INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2007: NASD REGULATION, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062005008401 TO: Department of Enforcement NASD Regulation, Inc. RE: Frost Brokerage Services, Inc. Member Firm CRD No. 17465 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc. ("NASD") Code of Procedure, Frost Brokerage Services, Inc., ("Respondent") 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.
Reference E062005008401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080146206 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frost Brokerage Services, Inc. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Frost Brokerage Services, Inc. ("Frost," "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 below. This AWC is submitted
Reference 2008014620601data-portal.finra.org finra.org

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