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FINRA Disciplinary Actions Online
Displaying 1 - 1 of 1
|Case ID||Case Summary||Document Type||Firms/ Individuals||Action Date Sort ascending|
|2014041859401||FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041859401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Citadel Securities LLC, Respondent Member Firm CRD No. 116797 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Citadel Securities LLC (“Citadel Securities” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations||AWCs (Letters of Acceptance, Waiver, and Consent)||
Citadel Securities LLC