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RBS SECURITIES INC

Financial crime · Bank · Regulator action

RBS SECURITIES INC is an entity of interest. It has not been found on international sanctions lists.

Type	Company				[sources]
Name	RBS SECURITIES INC · RBS Securities Inc.				[sources]
Incorporation date	not available				[sources]
Jurisdiction	not available				[sources]
Country	United States				[sources]
Registration number	not available				[sources]
Address	Stamford, Connecticut				[sources]
Source link	www.federalreserve.gov				[sources]
Last change	2025-11-10	Last processed	2025-12-01	First seen	2024-03-28

Relationships

Data sources

US FINRA Enforcement Actions15,194

Firms and individuals that have faced FINRA disciplinary actions

United States · FINRA

US SEC Actions Due to Harmed Investors820

Enforcement actions against persons and firms that had harmed investors

United States · SEC

US Federal Reserve Enforcement Actions4,677

Enforcement actions against entities and individuals for violations of laws, rules, or regulations

United States · FRB

Source data IDs: us-fed-55c86750add36f7e8dce8dd41624abddd9f1f243 · us-sec-harm-rbs-securities-inc · us-finra-rbs-securities-inc

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Factsheet Data sources

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Sanctions
Country	Authority	Program	Start date	End date
United States	Financial Industry Regulatory Authority		-	-

Documents
Document	Date
Federal Reserve announces fines totaling more than $1.8 billion against six major banking organizations for their unsafe and unsound practices in the foreign exchange (FX) markets	2015-05-20