Israel A. Englander & Co. LLC

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080148703-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Israel A. Englander & Co., LLC, Respondent Broker-Dealer CRD No. 33725 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Israel A. Englander & Co., 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 2008014870301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/11/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048312801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Israel A. Englander & Co., LLC, Respondent Broker-Dealer CRD No. 33725 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Israel A. Englander & Co., LLC (the “Firm”, “Englander” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement
Reference 2015048312801data-portal.finra.org finra.org

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