LINSCO PRIVATE LEDGER CORP.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0400610003 TO: Department of Enforcement NASD RE: Linsco Private Ledger Corp., Respondent CRD No. 6413 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent 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 Respondent alleging
Reference EAF0400610003data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004027401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Linsco/Private Ledger Corp.' Member Firm CRD No. 6413 Phillip Scott Eggers General Securities Representative CRD No. 2064151 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Linsco/Private Ledger Corp. and Phillip Scott Eggers ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference E062004027401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE4050009 TO: Department of Enforcement NASD RE: Linsco/Private Ledger Corp. One Beacon Street, 22nd Floor Boston, Massachusetts 02108-3106 BD No. 6413 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Linsco/Private Ledger Corp. ("LPL") 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
Reference CE4050009data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1120030718-01 TO; Department of Enforcement NASD RE: Linsco/Private Ledger Corp., Respondent Member Firm BD No. 6413 Pursuant to Rule 9216 of NASD's Code of Procedure, Respondent Linsco/Private Ledger Corp. ("LPL" 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 the condition that, if accepted, NASD will
Reference E112003071801data-portal.finra.org finra.org

Other names1

Also known as1

LINSCO/PRIVATE LEDGER CORP.

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