FINRA Disciplinary Actions Online
Displaying 1 - 1 of 1
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2021070581401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070581401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Webull Financial LLC (Respondent) Member Firm CRD No. 289063 Pursuant to FINRA Rule 9216, Respondent Webull Financial LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. | AWCs (Letters of Acceptance, Waiver, and Consent) | Webull Financial LLC |
03/09/2023 |