H. Rivkin & Co. Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2005006401 TO: Department of Enforcement NASD RE: H. Rivkin & Co., Inc., Respondent CRD No. 29459 Pursuant to Rule 9216 of NASD Code of Procedure, H. Rivkin & Co., Inc. ("Rivkin"), 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 not bring any future actions against us
Reference E9B2005006401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030677801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: H. Rivkin & Co., Inc., Respondent BD No. 29459 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent H. Rivkin & Co., Inc. ("Rivkin" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2012030677801data-portal.finra.org finra.org

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