STOCK USA EXECUTION SERVICES INC

Regulator action

United States. Named in 5 sanctions listings.

Sanctions and listings5

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035136402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stock USA Execution Services, Inc. (BD No. 107403) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stock USA Execution Services, lnc. ("Stock USA" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2013035136402data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013749203 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stock USA Execution Services, Inc. Member Firm CRD No. 107403 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stock USA Execution Services, Inc. (hereinafter, "Stock USA" or "the Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2008013749203data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140399428-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stock USA Execution Services, Inc, Respondent Broker-Dealer CRD No. 107403 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stock USA Execution Services, Inc (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2014039942801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2012032577301 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stock USA Execution Services, Inc, Respondent Broker-Dealer CRD No. 107403 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stock USA Execution Services, Inc (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2012032577301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120310864-04 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Stock USA Execution Services, Inc, Respondent Broker-Dealer CRD No. 107403 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Stock USA Execution Services, Inc (the "firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2012031086404finra.org data-portal.finra.org

Other names1

Also known as1

STOCK USA EXECUTION SERVICES INC.

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