nka Aperture LLC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130381215-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: tradeMONSTER (n/k/a Aperture, LLC d/b/a OptionsHouse), Respondent Broker-Dealer CRD No. 145562 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, tradeMONSTER (n/k/a Aperture, LLC d/b/a OptionsHouse) (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the
Reference 2013038121501data-portal.finra.orgfinra.org
Other names2
Also known as2
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