GLOBAL UNITED SECURITIES LTD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100209394-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Global United Securities Ltd., Respondent Member Firm BD No. 16556 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Global United Securities Ltd. ("Global United" or "the firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2010020939401data-portal.finra.orgfinra.org
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.