Nex Systems
Type not stated

BMA SECURITIES

Regulator action

United States. Named in 3 sanctions listings.

Screen this subject

Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE; WAIVER AND CONSENT NO. 20080123942-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMA Securities, Respondent Broker-Dealer CRD No. 108219 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMA Securities, (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

    Reference 2008012394201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023220502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: BMA Securities (a/k/a Burt Martin Arnold Securities, Inc.) (BD No. 108219), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMA Securities (the "Firm," "BMA" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2010023220502data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/15/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 20120315075-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: BMA Securities, Respondent Broker-Dealer CRD No. 108219 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, BMA Securities ("BMAS" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2012031507501data-portal.finra.orgfinra.org

Other names1

Also known as1

BURT MARTIN ARNOLD SECURITIES INC.

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.