GIRARD SECURITIES INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050259401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Girard Securities, Inc., Respondent CRD No. 18697 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Girard Securities, Inc. ("Girard" 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
Reference 2016050259401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033033901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Girard Securities, Inc., Respondent FINRA Member Firm CRD No. 18697 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gerard Securities, Inc., "Girard" or "the Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2012033033901data-portal.finra.org finra.org

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