Nex Systems
Type not stated

ACCESS SECURITIES 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

    12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060042298-01 Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") Securities, Inc., Respondent Broker-Dealer 22455 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Access Securities, 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. The AWC is submitted on the

    Reference 2006004229801data-portal.finra.orgfinra.org

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