TOURMALINE PARTNERS LLC.

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017055179601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tourmaline Partners, LLC (Tourmaline or Respondent) Member Firm CRD No. 154492 Pursuant to FINRA Rule 9216, Respondent Tourmaline Partners, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017055179601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069333101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Tourmaline Partners, LLC (Respondent) Member Firm CRD No. 154492 Pursuant to FINRA Rule 9216, Respondent Tourmaline Partners, LLC 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 accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021069333101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150464834-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Tourmaline Partners, LLC, Respondent Broker-Dealer CRD No. 154492 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, Tourmaline Partners, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement ofthe alleged rule violations
Reference 2015046483401data-portal.finra.org finra.org

Other names1

Also known as1

Tourmaline Partners LLC

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