Ross Sinclaire & Associates LLC

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080128312-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ross, Sinclaire & Associates, LLC, Respondent Broker-Dealer CRD No. 25440 Pursuant to FINRA Rule of FINRA's Code of Procedure, Ross, Sinclaire & Associates, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2008012831201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029697501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ross, Sinclarire & Associates, LLC, Respondent Broker Dealer CRD No. 25440 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ross, Sinclaire & Associates, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2011029697501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052424001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ross Sinclaire & Associates, LLC, Respondent Broker-Dealer CRD No. 25440 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ross Sinclaire & Associates, LLC ("Ross Sinclaire" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2017052424001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043591701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ross, Sinclaire & Associates, LLC Respondent CRD No. 25440 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. This AWC is submitted on the condition that, if
Reference 2015043591701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20120328339-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Ross, Sinclaire & Associates, LLC, Respondent Broker-Dealer CRD No. 25440 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ross, Sinclaire & Associates, LLC (the "Respondent" or "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2012032833901data-portal.finra.org finra.org

Other names1

Also known as1

Ross, Sinclaire & Associates LLC

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