JMP SECURITIES LLC

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060063389-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: JMP Securities LLC, Respondent Broker-Dealer CRD No. 22208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, JMP 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 AWC is submitted
Reference 2006006338901data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039333001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: JMP Securities LLC CRD No. 22208 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, JMP Securities LLC ("JMP Securities," "Respondent" 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 below.
Reference 2013039333001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2008OO67570-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: JMP Securities, LLC, Respondent Broker-Dealer CRD No. 22208 Pursuant to NASD Rule 9216 of FINRA Code of Procedure, JMP Securities, LLC (the "firm") submits this Letter of Acceptance
Reference 2006006757001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050021280-01 TO: Department of Market Regulation NASD RE: JMP Securities LLC Broker-Dealer CRD No. 22208 Pursuant to Rule 9216 of the NASD Code of Procedure, JMP Securities LLC (the "firm" or "JSSF") 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
Reference 2005002128001data-portal.finra.org finra.org

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