HAMPTON SECURITIES INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003899801 TO: Department of Enforcement NASD RE: Hampton Securities (USA), Inc. BD No. 46816 Pursuant to Rule 9216 of NASD Code of Procedure, we submit 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 alleging violations based on the
Reference 2006003899801finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050012335-01 TO: Department of Market Regulation NASD RE: Hampton Securities (USA), Inc., Respondent CRD No. 46816 Pursuant to Rule 9216 of NASD Code of Procedure, Hampton Securities (USA), Inc. ("HMPT" or the "firm") 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
Reference 2005001233501finra.orgdata-portal.finra.org
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