Nex Systems
Type not stated

AEI 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

    06/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025483201 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: AEI Securities, Inc. (CRD No. 6158) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, AEI Securities, Inc. submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA

    Reference 2011025483201data-portal.finra.orgfinra.org

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