PREBON FINANCIAL PRODUCTS INC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080138263-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Prebon Financial Products Inc., Respondent Broker-Dealer CRD No. 29551 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Prebon Financial Products Inc., (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 2008013826301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2008011727701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Prebon Financial Products, Inc., Respondent Member Firm BD No. 29551 Pursuant to FINRA Rule 9216 of FINRA's 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 below.
Reference 2008011727701data-portal.finra.orgfinra.org
Other names1
Also known as1
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