TRIDENT PARTNERS LTD
Regulator actionUnited States. Named in 3 sanctions listings.
Sanctions and listings3
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012030775201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Trident Partners, Ltd., Respondent CRD No. 41258 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Trident Partners, Ltd. ("Trident") 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 Trident
Reference 2012030775201finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CLI050001 TO: Department of Enforcement NASD RE: Trident Partners, Ltd. Member Firm (BD No. 41258) Pursuant to Rule 9216 of the NASD Code of Procedure, Trident Partners, Ltd. ("Trident" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference CLI050001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120347020-O1 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Trident Partners LTD, Respondent Broker-Dealer CRD No. 41258 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Trident Partners LTD ("TRIP" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2012034702001data-portal.finra.orgfinra.org
Other names1
Also known as1
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