W.R. HAMBRECHT & CO. LLC
Regulator actionUnited States. Named in 4 sanctions listings.
Sanctions and listings4
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/08/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0120050083-02 TO: Department of Enforcement NASD RE: W.R. Hambrecht + Co., LLC CRD No.45040 Pursuant to Rule 9216 of NASD Code of Procedure, W.R. Hambrecht + Co., LLC (Respondent, WRH 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.
Reference E012005008302data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050908901 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: W.R. Hambrecht + Co., LLC, Respondent CRD No. 45040 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2016050908901finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032409501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: W.R. Hambrecht & Co., LLC, Respondent FINRA Member Firm CRD No. 45040 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent W.R. Hambrecht & Co., LLC (the "Firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a
Reference 2012032409501data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025641001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: W.R. Hambrecht + Co., LLC, Respondent Broker-Dealer CRD No. 45040 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent W.R. Hambrecht + Co., LLC ("WRH" 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
Reference 2011025641001finra.orgdata-portal.finra.org
Other names1
Also known as1
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