Nex Systems
Type not stated

Alexander Investment Services Co.

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

    10/20/2025: From June 30, 2020, until the present, Alexander Investment Services has failed to establish and maintain written policies and procedures, and a supervisory system, reasonably designed to achieve compliance with Securities Exchange Act of 1934 Rule 15/-1 (Regulation Best Interest or Reg BI), in violation of Exchange Act Rule 15/-1 (a)(l) and FINRA Rules 3110 and 2010. For these violations, the firm is censured, fined $25,000, and agrees to an undertaking to certify that it has remediated the issues identified in this AWC and implemented a supervisory system and written policies and procedures are reasonably designed to achieve compliance with Reg Bl.

    Reference 2024080211301data-portal.finra.orgfinra.org

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