Nex Systems
Type not stated

AIS FINANCIAL INC.

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

    04/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20070085026-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: AIS Financial, Inc, Respondent Member Firm CRD No. 4146 Pursuant to NASD Rule 9216 of FINRAS Code of Procedure, AIS Financial, Inc. ("AIS" or "the firm") submits this Letter of Acceptance, Waiver and Consent

    Reference 2007008502601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AIS FINANCIAL, INC. (CRD No. 41462), Respondent. Disciplinary Proceeding No. 2008012169101 Hearing Officer - MAD HEARING PANEL DECISION March 3, 2011 Respondent violated Conduct Rules 3011(a) and 2110 by failing to implement and enforce an anti-money laundering program reasonably designed to achieve and monitor compliance

    Reference 2008012169101data-portal.finra.orgfinra.org

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