GUGGENHEIM SECURITIES LLC

Regulator action

United States. Named in 7 sanctions listings.

Sanctions and listings7

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130367098-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Broker-Dealer CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Guggenheim Securities, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2013036709801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022640003 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Member Firm CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2010022640003data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090194353-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Broker-Dealer CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Guggenheim Securities, LLC (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
Reference 2009019435301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150455297-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Broker-Dealer CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Guggenheim Securities, LLC (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.
Reference 2015045529701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035988501 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Broker-Dealer CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Guggenheim Securities, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013035988501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032566801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC, Respondent Member Firm CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent 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
Reference 2012032566801finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110284038-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Guggenheim Securities, LLC Broker-Dealer CRD No. 40638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Guggenheim Securities, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2011028403801finra.org data-portal.finra.org

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