GVR COMPANY LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050076 TO: Department of Market Regulation NASD RE: GVR Company LLC, Respondent Broker/Dealer CRD Number 111528 Pursuant to Rule 9216 of NASD Code of Procedure, GVR Company LLC ("GVRC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will
Reference CLG050076data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050014 TO: Department of Market Regulation NASD RE: GVR Company LLC, Respondent Broker/Dealer CRD Number 111528 Pursuant to Rule 9216 of NASD Code of Procedure, GVR Company LLC ("GVRC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will
Reference CLG050014finra.orgdata-portal.finra.org
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