PRIVATE LEDGER CORPORATION
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E012002060302 TO: Department of Enforcement NASD RE: Linsco / Private Ledger Corporation, Respondent Member CRD No. 6413 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Linsco / Private Ledger Corporation ("Linsco" 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,
Reference E012002060302data-portal.finra.orgfinra.org
Other names1
Weak aliases1
Spellings the source flags as too generic to establish a match on their own.
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