Nex Systems
Type not stated

Acorns Securities LLC

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/02/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064308401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Acorns Securities, LLC (Respondent) Member Firm CRD No. 168172 Pursuant to FINRA Rule 9216, Respondent Acorns Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064308401finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/11/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052098301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Acorns Securities, LLC, Respondent CRD No. 168172 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Acorns Securities, LLC ("Acorns," the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2016052098301data-portal.finra.orgfinra.org

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