Nex Systems
Type not stated

ASENSIO BROKERAGE SERVICES INC.

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASENSIO BROKERAGE SERVICES, INC., n/k/a Integral Securities, Inc. (CRD No. 31742), and MANUEL PETER ASENSIO (CRD NO. 1148811), Respondents. Disciplinary Proceeding No. CAF030067 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION January 4, 2005 The individual respondent is barred for failing to respond to requests for information in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In addition, the Respondents

    Reference CAF030067data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/04/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ASENSIO BROKERAGE SERVICES, INC., n/k/a Integral Securities, Inc. (CRD No. 31742), and MANUEL PETER ASENSIO (CRD NO. 1148811), Respondents. Disciplinary Proceeding No. CAF030067 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION January 4, 2005 The individual respondent is barred for failing to respond to requests for information in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In addition, the Respondents

    Reference CAF030067data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/28/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Asensio Brokerage Services, lnc. n/k/a Integral Securities, Inc. New York, NY and Manuel Peter Asensio Miami, FL and New York, NY, Respondents. DECISION Complaint No. CAF030067 Dated: July 28, 2006 Individual respondent failed to respond to requests for information. Respondents issued research reports that failed to include required disclosures and that contained misleading information. Held

    Reference CAF030067data-portal.finra.orgfinra.org

Other names1

Also known as1

INTEGRAL SECURITIES INC.

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