SHEARSON FINANCIAL SERVICES LLC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043417501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shearson Financial Services, LLC, Respondent CRD No. 38619 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Shearson Financial Services, LLC ("SFS" or"Firm" or"Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC'') for the purpose of proposing a settlement of the alleged rule violations
Reference 2015043417501data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETIER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120312262- 01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Shearson Financial Services, LLC, Respondent Broker-Dealer CRD No. 38619 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Shearson Financial Services, LLC (the “firm") submits this Letter of Acceptance, Waiver and Consent ("AWC”) for the purpose of proposing a settlement of the alleged
Reference 2012031226201data-portal.finra.orgfinra.org
Other names1
Also known as1
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