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| Type | Legal entity | [sources] | |||
|---|---|---|---|---|---|
| Name | CONVERGEX EXECUTION SOLUTIONS LLC · Convergex Execution Solutions LLC | [sources] | |||
| Legal form | not available | [sources] | |||
| Country | United States of America | [sources] | |||
| Status | not available | [sources] | |||
| Last change | Last processed | First seen | |||
Enforcement actions against persons and firms that had harmed investors
United States of America · SEC
Firms and individuals that have faced FINRA disciplinary actions
United States of America · FINRA
us-sec-harm-convergex-execution-solutions-llc · us-finra-convergex-execution-solutions-llcFor experts: raw data explorer
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| Sanctions | |||||
|---|---|---|---|---|---|
| Country | Authority | Program | Start date | End date | |
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Financial Industry Regulatory Authority | - | - | ||
| United States of America | Securities and Exchange Commission | - | - | ||