chicago_biz
7 records
co_sos
1 records
finra_disciplinary
3 records
FINRA: Firms Fined — Pershing LLC
September 16, 2024
September 16, 2024 – An AWC was issued in which the firm was censured and fined $150,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings th...
View Source
FINRA: Firms Fined — Pershing LLC
July 31, 2024
July 31, 2024 – An AWC was issued in which the firm was censured and fined $1,400,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that ...
View Source
FINRA: Firms Fined — Pershing LLC
August 6, 2024
August 6, 2024 – An AWC was issued in which the firm was censured, fined $175,000, and required to pay the regulatory transaction fees as required for unreported fractional share trades executed betwe...
View Source
ny_corps
3 records
NY Corp: PERSHING LLC
2003-01-22
FOREIGN LIMITED LIABILITY COMPANY | County: New York | Jurisdiction: Delaware
View Source
NY Corp: THE PERSHING GROUP LLC
2002-12-02
FOREIGN LIMITED LIABILITY COMPANY | County: Westchester | Jurisdiction: New Jersey
View Source
NY Corp: PERSHING PARTNERS LLC
1998-12-17
DOMESTIC LIMITED LIABILITY COMPANY | County: New York | Jurisdiction: New York
View Source
Be informed when major changes happen on C.F.A.I. — new data sources, platform updates, critical enforcement alerts
No spam. Only major updates. Unsubscribe anytime.