GP

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2022077355801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: SAL Equity Trading, GP (Respondent) Member Firm CRD No. 29337 Pursuant to FINRA Rule 9216, Respondent SAL Equity Trading, GP (SALET) 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 is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022077355801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150442317-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Sal Equity Trading, GP, Respondent Broker-Dealer CRD No. 29337 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Sal Equity Trading, GP (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2015044231701data-portal.finra.org finra.org

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