Nex Systems
Type not stated

Oppenheimerfunds Distributor Inc.

Financial crime

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Securities and Exchange CommissionUS SEC Actions Due to Harmed InvestorsUnited States

    sec.govsec.gov

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2016052647801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MML Investors Services, LLC CRD No. 10409 MML Distributors, LLC CRD No. 38030 MML Strategic Distributors, LLC CRD No. 168638 Oppenheimer Funds Distributor, Inc. CRD No. 7834 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents MML Investors Services, LLC ("MMLIS"), MML Distributors, LLC ("MMLD"), MML

    Reference 2016052647801data-portal.finra.orgfinra.org

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.