Nex Systems
Type not stated

Linkbrokers Derivatives LLC

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130364569-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: LinkBrokers Derivatives LLC Broker-Dealer CRD No. 123000 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, LinkBrokers Derivatives LLC ("LINK", the "Firm" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013036456901data-portal.finra.orgfinra.org

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

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