Nex Systems
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DINOSAUR SECURITIES L.L.C.

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

    06/22/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: DINOSAUR SECURITIES, LLC, Respondent (BD No. 104446) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Dinosaur Securities, LLC ("Dinosaur" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2007009268201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120304130-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Securities, L.L.C., Respondent ("Dinosaur" or the ''Firm") BD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dinosaur submits this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2012030413001data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008011718001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dinosaur Securities, L.L.C, Respondent BD No. 104446 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Dinosaur Securities, L.L.C. ("Dinosaur" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2008011718001data-portal.finra.orgfinra.org

Other names1

Also known as1

DINOSAUR SECURITIES LLC

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