ORION SECURITIES (USA) INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112005017301 TO: Department of Enforcement NASD RE: Orion Securities (USA) Inc. BD No. 38108 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 same factual
Reference E112005017301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT DEPARTMENT OF MARKET REGULATION CLG050063 TO: Department of Market Regulation NASD RE: Orion Securities (USA) Inc., Respondent Broker/Dealer CRD Number 38108 Pursuant to Rule 9216 of NASD Code of Procedure, Orion Securities (USA) Inc. ("YORK") 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 CLG050063data-portal.finra.orgfinra.org
Other names1
Also known as1
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