GLOBAL HUNTER SECURITIES LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030381501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global Hunter Securities, LLC, Respondent [CRD No. 123003] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Hunter Securities, LLC Respondent (hereinafter, the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2012030381501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025644101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global Hunter Securities, LLC, Respondent [CRD No. 123003] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Global Hunter Securities, LLC (hereinafter, "Global Hunter" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011025644101data-portal.finra.org finra.org

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