Nex Systems
Type not stated

A.R. Schmeidler and Co. Inc.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110278990-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: A. R. Schmeidler & Co., Inc., Respondent Broker-Dealer CRD No. 5845 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, A. R. Schmeidler & Co., Inc. (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 2011027899001data-portal.finra.orgfinra.org

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