GENESIS SECURITIES LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Genesis Securities, LLC (CRD No. 46992), and William C. Yeh (CRD No. 2688332), Respondents. Disciplinary Proceeding No. 2009021082501 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 15, 2012 INTRODUCTION Disciplinary Proceeding No. 2009021082501 was filed on February 6, 2012, by the Department
Reference 2009021082501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070078178-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: Genesis Securities, LLC, Respondent Broker-Dealer CRD No. 46992 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Genesis Securities, LLC (the firm'') submits this Letter of Acceptance, Waiver and Consent
Reference 2007007817801data-portal.finra.org finra.org

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