Nex Systems
Type not stated

Alterna 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

    11/30/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020068391502 Department of Enforcement Financial Industry Regulatory Authority (FINRA) Altema Securities, Inc., formerly known as Actinver Securities, Inc. (Respondent) Member Firm CRD No.41139 Pursuant to FINRA Rule 9216, Respondent Altema 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.

    Reference 2020068391502data-portal.finra.orgfinra.org

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