Nex Systems
Type not stated

ACN 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

    03/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ACN Securities Inc. (CRD No. 37645), and Simon Taylor (CRD No. 3079767), Respondents. DISCIPLINARY PROCEEDING No. 2013035237101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter concerns the Respondents' failure to timely file a Uniform Termination Notice for Securities Industry Registration ("Form U5") for one of its registered persons who repeatedly requested

    Reference 2013035237101data-portal.finra.orgfinra.org

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