Nex Systems
Type not stated

AFSG SECURITIES CORP.

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

    10/24/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0401240001 TO: Department of Enforcement NASD RE: AFSG Securities Corp. CRD No. 18374 Pursuant to Rule 9216 of NASD Code of Procedure, respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted upon the condition that, if accepted, NASD will not bring any future actions against respondent alleging violations based upon

    Reference EAF0401240001data-portal.finra.orgfinra.org

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