Gar Wood Securities LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061062701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gar Wood Securities, LLC (Respondent) Member Firm CRD No. 138033 Pursuant to FINRA Rule 9216, Respondent Gar Wood Securities, 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 2019061062701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021003301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gar Wood Securities LLC CRD No. 138033 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gar Wood Securities LLC ("Gar Wood" 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 on
Reference 2010021003301data-portal.finra.org finra.org

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