GMP SECURITIES LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032341201 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: GMP Securities, LLC, Respondent Broker-Dealer CRD No. 41025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GMP Securities, LLC, which was known as Miller Tabak Roberts Securities, LLC prior to January 17, 2012 (the "firm"), submits this Letter of Acceptance, Waiver and Consent
Reference 2012032341201finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130377841-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE:GMP Securities, LLC, Respondent Broker-Dealer, CRD No. 41025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, GMP Securities, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement
Reference 2013037784101data-portal.finra.orgfinra.org
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